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 |
|---|---|---|---|---|---|---|---|---|
| Bryan Timothy Russell | 5883165 | 1 | 06/10/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bradley S Lay | 4633746 | 2 | 08/16/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Michael Peavy | 4348578 | 2 | 06/14/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Robert McCarthy | 1102734 | 1 | 11/16/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Arthur Joseph Kole | 2341397 | 1 | 09/20/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Jeffery Wiseman | 1358960 | 3 | 05/18/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marc Evan Nufrio | 1902705 | 3 | 12/08/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lawrence William Waller | 3232644 | 7 | 12/01/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Charles Hock | 708167 | 5 | 11/30/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Judson Alan Smith | 1529730 | 2 | 01/14/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |