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 |
|---|---|---|---|---|---|---|---|---|
| Dale Edward Wondisford | 6088117 | 2 | 03/10/2024 | Customer Dispute | Closed-No Action | $6,788.33 | $0.00 | See FINRA Report |
| Ricardo Fabian Gonzales | 7708907 | 1 | 02/23/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Larry Dean Henderson | 6168717 | 1 | 10/24/2023 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Troy D Simonson | 6704184 | 1 | 10/13/2023 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Kerry James Bouchard | 4092700 | 3 | 04/13/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kerry James Bouchard | 4092700 | 3 | 04/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Gerard Munger | 7058721 | 2 | 03/09/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Gregg Matter | 6665355 | 1 | 12/16/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Gerard Munger | 7058721 | 2 | 10/28/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marcelino Servidad Villaflor | 3020738 | 1 | 09/24/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |