Our Staff has compiled our research into a database of FINRA Broker Disclosures. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Nathaniel Royce Clay | 4525541 | 11 | 02/02/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Archie Abel Blood | 1861277 | 1 | 02/01/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Allan Stroud | 1207226 | 5 | 02/01/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Scott Smith | 1412333 | 12 | 02/01/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Roger Lee Arnold | 5284151 | 5 | 02/01/2023 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew John Boehm | 4418029 | 1 | 01/31/2023 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Robert Jeffrey Boschke | 2813139 | 5 | 01/31/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David John Zauner | 2027403 | 2 | 01/31/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven G Brettler | 4367351 | 2 | 01/31/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth John Byrne | 1191939 | 3 | 01/31/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |