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 |
|---|---|---|---|---|---|---|---|---|
| Calvin Seaborn Sumner | 713266 | 6 | 05/07/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Rose Langley | 6617376 | 1 | 01/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Calvin Seaborn Sumner | 713266 | 6 | 01/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregg Randall Fortune | 2701163 | 9 | 01/13/2015 | Customer Dispute | Denied | $1,717,000.00 | $0.00 | See FINRA Report |
| Peter Joseph Smegielski | 5825198 | 1 | 10/27/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Patrick Garcia | 2729630 | 1 | 01/27/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Bradley Jay Schlang | 2755909 | 9 | 07/17/2013 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Bradley Jay Schlang | 2755909 | 9 | 09/24/2012 | Customer Dispute | Award / Judgment | $3,818,000.00 | $1,028,320.00 | See FINRA Report |
| George Michael Mallick | 2469228 | 1 | 08/03/2012 | Customer Dispute | Denied | $220,000.00 | $0.00 | See FINRA Report |
| Calvin Seaborn Sumner | 713266 | 6 | 03/26/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |