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 |
|---|---|---|---|---|---|---|---|---|
| Joshua D Bradley | 5174430 | 3 | 11/15/2023 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| David Sztrom | 5978581 | 4 | 05/02/2023 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| David Sztrom | 5978581 | 4 | 05/02/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Michael Sztrom | 3042821 | 7 | 05/02/2023 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Sztrom | 3042821 | 7 | 05/02/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Rick Joseph Militello | 2116207 | 1 | 09/23/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Justin P Bernier | 6146026 | 1 | 06/16/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lance Damion Lienart | 2623132 | 2 | 05/10/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Sztrom | 5978581 | 4 | 01/15/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Sztrom | 5978581 | 4 | 01/15/2021 | Civil | Final | $0.00 | $0.00 | See FINRA Report |