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 |
|---|---|---|---|---|---|---|---|---|
| Kathryn Aiksnoras Dennen | 6174969 | 1 | 12/06/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Harold Alan Schwartz | 841225 | 5 | 02/01/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Craig Walstad | 1577424 | 3 | 11/30/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |