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 |
|---|---|---|---|---|---|---|---|---|
| Aivars Ziedins | 476441 | 2 | 09/26/1988 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Blake Nelson | 1199678 | 1 | 08/02/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Stanley Devore | 66743 | 1 | 01/01/1988 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Aivars Ziedins | 476441 | 2 | 11/10/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Martin Lomes | 1395977 | 2 | 06/10/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric E Harley | 2678289 | 1 | 02/22/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Franklin Nathaniel Cochran | 2671148 | 1 | 11/17/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rod Anthony Locricchio | 4402202 | 1 | 10/04/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eloisa Vela | 6167151 | 1 | 09/02/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven E Bender | 6124244 | 1 | 11/10/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |