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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Brendan Frazier | 5837358 | 4 | 01/10/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Brendan Frazier | 5837358 | 4 | 11/27/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Brendan Frazier | 5837358 | 4 | 11/27/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Brendan Frazier | 5837358 | 4 | 10/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chris David Abeyta | 6403098 | 25 | 03/22/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Julie King Knotts | 7414209 | 1 | 03/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles A Lineberry | 4722022 | 1 | 02/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |