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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Madigan Sinclair | 3060302 | 3 | 05/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Bartolomeo | 1823924 | 1 | 12/08/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jo A Pate | 3185320 | 1 | 12/06/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Madigan Sinclair | 3060302 | 3 | 10/26/2021 | Financial | Final | $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 | |
| Alan Matthew Stricker | 2630094 | 2 | 06/02/2021 | Customer Dispute | Settled | $23,995.00 | $0.00 | See FINRA Report |
| Christopher Walter Kubert | 4352945 | 3 | 05/14/2021 | Civil | Pending | $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 | |
| Darcy Lynn Salter | 2169319 | 1 | 01/21/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |