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 |
|---|---|---|---|---|---|---|---|---|
| Jerome Jefferson Wallace | 5443513 | 6 | 04/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lori H Moncada | 5473199 | 2 | 04/15/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jerome Jefferson Wallace | 5443513 | 6 | 04/10/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent Sean Mariana | 6994826 | 1 | 03/19/2019 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Myles William Easter | 6024704 | 4 | 03/02/2019 | Customer Dispute | Settled | $17,235.00 | $0.00 | See FINRA Report |
| James Robert Palmiotto | 6712587 | 2 | 01/25/2019 | Customer Dispute | Closed-No Action | $25,020.00 | $0.00 | See FINRA Report |
| Brennan N Nelson | 6789742 | 1 | 12/31/2018 | Customer Dispute | Denied | $389.95 | $0.00 | See FINRA Report |
| Brock Anthony Williams | 6745054 | 1 | 12/12/2018 | Customer Dispute | Denied | $7,173.00 | $0.00 | See FINRA Report |
| Michael Scott Nixon | 5673343 | 3 | 11/14/2018 | Customer Dispute | Settled | $25,419.00 | $0.00 | See FINRA Report |
| Charles Shelby Cavileer | 7185592 | 1 | 08/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |