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 |
|---|---|---|---|---|---|---|---|---|
| Mark Leigh Bain | 3139332 | 1 | 10/20/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shanna Marie Rivera | 3184944 | 1 | 03/13/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clark Leroy Permann | 2182278 | 3 | 02/23/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ashley Michelle Hardaway | 6475095 | 1 | 07/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shawna Marie Goodly | 4417513 | 1 | 03/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Thomas Weller | 5952820 | 1 | 02/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jesse Dean Murphy | 1112908 | 1 | 06/05/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Fridrich | 4368561 | 1 | 11/04/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Scott Schliefer | 1141378 | 1 | 05/10/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Theodore John Delisi | 1708361 | 3 | 09/22/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |