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 |
|---|---|---|---|---|---|---|---|---|
| Frank Phillip Hill | 2208115 | 1 | 05/31/2022 | Customer Dispute | Denied | $325,000.00 | $0.00 | See FINRA Report |
| James Douglas Carlson | 5584185 | 2 | 05/03/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cristina Briboneria | 4961280 | 2 | 04/12/2022 | Customer Dispute | Pending | $28,500.00 | $0.00 | See FINRA Report |
| Anthony J Seifert | 6514406 | 2 | 03/23/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Clemens Duncombe | 4574450 | 2 | 02/25/2022 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Anthony J Seifert | 6514406 | 2 | 02/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathan Donald Sealey | 2997307 | 6 | 02/18/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nathan Donald Sealey | 2997307 | 6 | 01/25/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Michael Dick | 2928617 | 1 | 10/29/2021 | Customer Dispute | Denied | $62,569.00 | $0.00 | See FINRA Report |
| Franklin Jeffrey McElroy | 2237589 | 7 | 07/20/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |