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 |
| Joseph Richard Hassen | 6226616 | 3 | 07/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |