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 |
|---|---|---|---|---|---|---|---|---|
| Richard Allen Ceffalio | 2619565 | 5 | 05/31/2024 | Employment Separation After Allegations | $0.00 | $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 | |
| Ellen Gayle Reynard | 6148906 | 2 | 09/28/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Walter Kubert | 4352945 | 3 | 04/21/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Harold Edward Klein | 1021759 | 1 | 04/17/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paul Raymond Hakel | 1028745 | 2 | 10/22/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Anthony Fabrizio | 4049844 | 2 | 10/22/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Burton Enoch Cestia | 3260348 | 1 | 06/28/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dustin Thomas Capco | 6279298 | 1 | 10/02/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |