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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Jeremy Dean Tate | 5983992 | 2 | 12/27/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Brooks Brydges | 2719756 | 4 | 07/27/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Alan Gilbert | 1993261 | 2 | 04/27/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Joseph Breslin | 3252236 | 3 | 03/23/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard Brooks Brydges | 2719756 | 4 | 03/03/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Brooks Brydges | 2719756 | 4 | 10/11/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kozen Edward Tsukamoto | 4500292 | 1 | 09/23/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory Scott Hermes | 2656830 | 2 | 07/12/2013 | Customer Dispute | Denied | $55,343.00 | $0.00 | See FINRA Report |
| Richard Brooks Brydges | 2719756 | 4 | 03/15/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Matthew Mowad | 2546079 | 1 | 01/09/2012 | Customer Dispute | Denied | $36,000.00 | $0.00 | See FINRA Report |