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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Lee Baugh | 3250943 | 2 | 08/19/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Allen Ceffalio | 2619565 | 5 | 05/31/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Allen Ceffalio | 2619565 | 5 | 05/31/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Allen Ceffalio | 2619565 | 5 | 05/28/2024 | Customer Dispute | Pending | $3,530,380.00 | $0.00 | See FINRA Report |
| Paul Dudlo Snow | 2963153 | 1 | 04/09/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Lee Baugh | 3250943 | 2 | 03/11/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Seth Steele | 5697477 | 1 | 07/31/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Allen Ceffalio | 2619565 | 5 | 07/21/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Andrew Madigan Sinclair | 3060302 | 3 | 11/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ellen Gayle Reynard | 6148906 | 2 | 11/10/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |