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 |
|---|---|---|---|---|---|---|---|---|
| Mary Elizabeth Derussy | 3155526 | 3 | 12/26/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Blake Radford | 1564302 | 1 | 12/08/2017 | Customer Dispute | Settled | $80,579.00 | $0.00 | See FINRA Report |
| Donald A Lueke | 1962691 | 2 | 11/22/2017 | Customer Dispute | Settled | $329,231.00 | $0.00 | See FINRA Report |
| Ryan Conrad Bates | 6347290 | 1 | 09/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Preston Alexander | 5309647 | 1 | 09/07/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Nabholz | 4105304 | 1 | 09/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Dipaula | 6018094 | 1 | 08/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Crhistian Horacio Vasquez | 6989537 | 1 | 06/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Paul Ricks | 1060841 | 2 | 04/10/2017 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| Kurt Edward Stahl | 1890827 | 2 | 03/23/2017 | Customer Dispute | Withdrawn | $444,012.00 | $0.00 | See FINRA Report |