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 |
|---|---|---|---|---|---|---|---|---|
| Danielle Lee Halliday | 5439481 | 2 | 06/13/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Perron Shoemaker | 5836113 | 4 | 05/01/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Paul Lemmon | 5465233 | 2 | 01/14/2014 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Mark Andrew Banac | 7296059 | 1 | 11/08/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Irvin | 7026604 | 1 | 10/16/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Lee | 4686159 | 3 | 08/08/2013 | Customer Dispute | Denied | $71,300.00 | $0.00 | See FINRA Report |
| Brian James Rickert | 7724767 | 1 | 06/18/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eugene Edward Brucker | 4864832 | 3 | 07/05/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Peter Bamberger | 4339068 | 3 | 06/18/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edwin Martinez | 4268255 | 7 | 05/23/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |