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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Michael Kloss | 1809007 | 2 | 05/17/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles P Merrick | 3101541 | 2 | 10/14/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Christopher Hawkins | 1967710 | 1 | 03/20/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles P Merrick | 3101541 | 2 | 12/19/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |