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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Chapman Peck | 6128514 | 1 | 10/28/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Derek L.Mi Only Gregoire | 6384801 | 1 | 10/28/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Winslow Ellis | 6441180 | 1 | 10/28/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marci Porter Lucier | 4170223 | 2 | 10/22/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael A Guthrie | 2968177 | 1 | 06/06/2003 | Customer Dispute | Denied | $190,000.00 | $0.00 | See FINRA Report |
| Marci Porter Lucier | 4170223 | 2 | 03/16/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |