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 |
|---|---|---|---|---|---|---|---|---|
| Gary Alan Rosenstone | 4660262 | 1 | 07/10/2017 | Customer Dispute | Settled | $84,208.80 | $0.00 | See FINRA Report |
| Andres Mauricio Romero | 2486195 | 3 | 04/24/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Michael Lansink | 4027838 | 1 | 08/26/2016 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Kurt Elliot Erickson | 4573212 | 1 | 05/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher William Lowe | 4164654 | 1 | 03/08/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Christopher Fallin | 5120772 | 1 | 08/25/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Terrence Colen | 1929889 | 1 | 01/26/2015 | Customer Dispute | Denied | $8,380.69 | $0.00 | See FINRA Report |
| Timothy John Scanlan | 1523335 | 3 | 03/20/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin James Steffen | 4561532 | 3 | 03/20/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Johnny Kenard Rutledge | 5507113 | 2 | 09/20/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |