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 |
|---|---|---|---|---|---|---|---|---|
| Pablo Martin Serna | 2476441 | 1 | 05/05/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carol Le | 7302712 | 1 | 10/13/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason John McPharlin | 4801219 | 1 | 04/01/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marvin Walton Christian | 2933295 | 1 | 02/01/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael C McNabb | 1134091 | 1 | 01/13/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |