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 |
|---|---|---|---|---|---|---|---|---|
| Peter Joseph Glowacki | 1156214 | 1 | 02/21/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Carl Seem | 6585555 | 1 | 06/09/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William George Knapp | 3132850 | 1 | 12/31/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Nichols | 2710703 | 5 | 07/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Nichols | 2710703 | 5 | 02/13/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric Nichols | 2710703 | 5 | 02/01/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Nichols | 2710703 | 5 | 09/05/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Halla | 2738221 | 6 | 05/31/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sharon Lee Herbst | 847172 | 4 | 03/14/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Nichols | 2710703 | 5 | 02/08/2017 | Customer Dispute | Settled | $60,924.90 | $0.00 | See FINRA Report |