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 |
|---|---|---|---|---|---|---|---|---|
| Bradley S Lay | 4633746 | 2 | 12/06/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ian Blane Meierdiercks | 3205009 | 1 | 02/01/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Jeffery Wiseman | 1358960 | 3 | 07/30/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Wallace Wolfe | 603933 | 1 | 08/30/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Stephen Sparger | 1877647 | 4 | 01/17/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Stephen Sparger | 1877647 | 4 | 08/09/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Allan Brown | 3097139 | 1 | 04/02/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Charles Hock | 708167 | 5 | 01/09/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Anthony Beam | 2192544 | 2 | 02/09/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Charles Hock | 708167 | 5 | 11/15/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |