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 |
|---|---|---|---|---|---|---|---|---|
| Michael Raymond Frager | 1230622 | 11 | 01/08/2024 | Customer Dispute | Pending | $125,000.00 | $0.00 | See FINRA Report |
| Michael Raymond Frager | 1230622 | 11 | 11/04/2022 | Customer Dispute | Pending | $125,000.00 | $0.00 | See FINRA Report |
| John Sloan Arens | 6518844 | 2 | 08/25/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Joseph Rock | 2779692 | 1 | 07/09/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Sloan Arens | 6518844 | 2 | 07/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aarone Lee Tirpak | 3082449 | 1 | 05/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Duane Kevin Shumaker | 2744735 | 1 | 11/15/2018 | Customer Dispute | Settled | $30,777.00 | $0.00 | See FINRA Report |
| Jeremy Dean Tate | 5983992 | 2 | 09/01/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Joseph Breslin | 3252236 | 3 | 10/26/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Anthony Riva | 2157887 | 1 | 01/26/2017 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |