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 |
|---|---|---|---|---|---|---|---|---|
| Marvin L Mitchell | 5324636 | 1 | 04/12/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Lynne Harstick | 2963873 | 1 | 02/09/2004 | Customer Dispute | Closed-No Action | $46,000.00 | $0.00 | See FINRA Report |