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 |
|---|---|---|---|---|---|---|---|---|
| J Richard Matheis | 869179 | 3 | 08/24/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| J Richard Matheis | 869179 | 3 | 06/23/2021 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Brandon David Johnson | 4888798 | 2 | 04/17/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brandon David Johnson | 4888798 | 2 | 04/17/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Richard Hassen | 6226616 | 3 | 07/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Richard Hassen | 6226616 | 3 | 06/02/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Richard Hassen | 6226616 | 3 | 04/15/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Firman Clark | 1631784 | 1 | 08/01/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy John Hawkins | 4064503 | 2 | 07/25/2013 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Timothy John Hawkins | 4064503 | 2 | 09/15/2008 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |