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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Quentin Cannon | 39762 | 4 | 03/09/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Quentin Cannon | 39762 | 4 | 08/14/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ernest Lino Jordan | 1196460 | 1 | 06/07/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam Edward Gerber | 2422040 | 1 | 05/10/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Audie Gean Rea | 1080152 | 3 | 09/01/1989 | Customer Dispute | Settled | $138,000.00 | $0.00 | See FINRA Report |
| Thomas Quentin Cannon | 39762 | 4 | 08/16/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leslie Cameron Finn | 2441761 | 2 | 12/23/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Edward Flaherty | 1173405 | 3 | 01/02/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |