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 |
|---|---|---|---|---|---|---|---|---|
| David Rich Hall | 2408344 | 2 | 06/05/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Bruckner | 5754875 | 3 | 02/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Douglas Branca | 1178639 | 1 | 06/13/2017 | Customer Dispute | Closed-No Action | $571,882.00 | $0.00 | See FINRA Report |
| Daniel Aaron Mercer | 5467102 | 2 | 05/23/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Aaron Mercer | 5467102 | 2 | 05/23/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Bruckner | 5754875 | 3 | 02/13/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ruth Ann Barrios | 2747022 | 4 | 08/16/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Bruckner | 5754875 | 3 | 05/11/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Danny Lee Butcher | 5658438 | 1 | 01/14/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ruth Ann Barrios | 2747022 | 4 | 11/16/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |