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 |
|---|---|---|---|---|---|---|---|---|
| Paul Anthony Finocchiaro | 4201809 | 1 | 02/24/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Thomas Dunnett | 2693001 | 2 | 06/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wayne Alan Barker | 5982189 | 1 | 12/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith U Heritage | 5231172 | 2 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julie Thompson Manning | 5664823 | 1 | 11/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |