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 |
|---|---|---|---|---|---|---|---|---|
| Joel Randy Freedman | 1260557 | 3 | 03/14/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Chad Robert Keller | 4631248 | 1 | 02/13/2024 | Customer Dispute | Denied | $47,500.00 | $0.00 | See FINRA Report |
| Joel Randy Freedman | 1260557 | 3 | 01/24/2024 | Customer Dispute | Settled | $1,431,590.00 | $0.00 | See FINRA Report |
| William A Schellenberg | 2376086 | 3 | 08/18/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Luis Antonio Fuentes | 215410 | 3 | 05/31/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Alexander Cardenas | 4972436 | 1 | 03/29/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Randolph Edwin Daniels | 6104458 | 1 | 10/19/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Leblanc | 2607117 | 6 | 08/30/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Mercer | 2270311 | 3 | 02/08/2022 | Customer Dispute | Withdrawn | $750,000.00 | $0.00 | See FINRA Report |
| Eunice E Flores | 5481336 | 1 | 01/14/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |