Our Staff has compiled our research into a database of FINRA Broker Disclosures for . 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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Roger Whittle | 2190231 | 1 | 07/23/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Angela Yvonne Denna | 4140619 | 1 | 03/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stacee Rae Love-Malcolm | 4246711 | 5 | 02/19/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas George Delaney | 2839233 | 1 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lance Alan Sevier | 5418562 | 1 | 10/15/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Tracy Pickett | 5919754 | 1 | 07/25/2018 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| Stacee Rae Love-Malcolm | 4246711 | 5 | 10/09/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stacee Rae Love-Malcolm | 4246711 | 5 | 03/15/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stacee Rae Love-Malcolm | 4246711 | 5 | 09/29/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stacee Rae Love-Malcolm | 4246711 | 5 | 04/07/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |