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 |
|---|---|---|---|---|---|---|---|---|
| Todd Charles Bauman | 2605865 | 3 | 04/01/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Charles Bauman | 2605865 | 3 | 07/05/2018 | Customer Dispute | Settled | $7,500.00 | $0.00 | See FINRA Report |
| Todd Charles Bauman | 2605865 | 3 | 10/04/1999 | Customer Dispute | Award / Judgment | $169,000.00 | $200,000.00 | See FINRA Report |