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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer Han Malek | 3164482 | 2 | 05/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Sheri L Gordon | 1351255 | 1 | 12/15/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Kenneth Starr | 6125237 | 3 | 03/04/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joshua Kent Lewis | 6157661 | 3 | 09/23/2019 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Darold Wing Mark | 1323253 | 3 | 08/08/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Mark Kenneth Starr | 6125237 | 3 | 04/04/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joshua Kent Lewis | 6157661 | 3 | 03/08/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joshua Kent Lewis | 6157661 | 3 | 02/20/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jordan P Rider | 5292169 | 3 | 08/28/2017 | Customer Dispute | Settled | $475,597.00 | $0.00 | See FINRA Report |
| Jeremy P Anderson | 5859363 | 1 | 01/17/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |