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 |
|---|---|---|---|---|---|---|---|---|
| Marcus John Hernandez | 4902687 | 1 | 01/08/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John George Kallis | 4366410 | 2 | 11/16/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric Karl Rosenberger | 4636157 | 1 | 01/12/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vincent Paul Sturm | 3128214 | 2 | 08/26/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vincent Paul Sturm | 3128214 | 2 | 08/15/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Cristina Briboneria | 4961280 | 2 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Van Constantine Pappas | 4330560 | 1 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William J Thompson | 4753071 | 2 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric Donato Pucciarelli | 5130128 | 2 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kile Eugene Lewis | 2606798 | 2 | 09/08/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |