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 |
|---|---|---|---|---|---|---|---|---|
| Thomas O | 4870067 | 3 | 04/14/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas O | 4870067 | 3 | 03/22/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas O | 4870067 | 3 | 09/11/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott James Hofman | 5069797 | 1 | 12/24/2013 | Customer Dispute | Settled | $34,000.00 | $0.00 | See FINRA Report |