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 |
|---|---|---|---|---|---|---|---|---|
| John Theodore Kozak | 7040173 | 2 | 08/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Theodore Kozak | 7040173 | 2 | 08/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard C Thompson | 6443478 | 11 | 07/06/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeremiah Enoch Threlkeld | 5899556 | 1 | 05/16/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Russell Lee Luna | 1521036 | 3 | 04/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Dean Brumagin | 1518822 | 4 | 07/15/2015 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Anil B Vazirani | 2625109 | 6 | 01/15/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anil B Vazirani | 2625109 | 6 | 01/12/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anil B Vazirani | 2625109 | 6 | 12/01/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anil B Vazirani | 2625109 | 6 | 06/19/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |