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 |
|---|---|---|---|---|---|---|---|---|
| Rebecca T Ward | 6692246 | 2 | 09/09/2019 | Customer Dispute | Denied | $19,931.00 | $0.00 | See FINRA Report |
| Kyle Benjamin Fults | 5819563 | 3 | 09/05/2019 | Customer Dispute | Denied | $10,613.00 | $0.00 | See FINRA Report |
| Jerome Jefferson Wallace | 5443513 | 6 | 08/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adam J Rutstein | 4621152 | 7 | 07/24/2019 | Customer Dispute | Settled | $27,933.00 | $0.00 | See FINRA Report |
| Milla Gudukas | 6136129 | 1 | 07/10/2019 | Customer Dispute | Denied | $8,736.00 | $0.00 | See FINRA Report |
| Sandriene Soleil Semidey-Simon | 7299994 | 1 | 06/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Francis Patrick Caraco | 1221773 | 2 | 06/26/2019 | Customer Dispute | Denied | $7,965.00 | $0.00 | See FINRA Report |
| Michael Perron Shoemaker | 5836113 | 4 | 06/12/2019 | Customer Dispute | Denied | $49,860.00 | $0.00 | See FINRA Report |
| Stephen Carl Halstead | 4120352 | 2 | 05/31/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brittnei Mary Magdalene Larue | 7393199 | 1 | 04/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |