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 M Lester | 3178276 | 1 | 02/08/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Albert Christopher Nassar | 6730482 | 1 | 09/07/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Fowler Thomas | 4278972 | 1 | 03/06/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |