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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Fairchild Bradley | 2850255 | 3 | 03/19/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jackleen Sawiris | 7703003 | 1 | 03/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Fairchild Bradley | 2850255 | 3 | 03/12/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory John Thompson | 4209634 | 1 | 02/23/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy Paul Lata | 2295579 | 1 | 12/13/2016 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| William John George | 2497820 | 3 | 04/01/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Laura Lee Fleming | 2199436 | 1 | 02/08/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bernard Gerard Sandford | 4341197 | 1 | 01/11/2016 | Customer Dispute | Closed-No Action | $155,000.00 | $0.00 | See FINRA Report |
| Bradford James Underdahl | 867889 | 3 | 12/31/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William John George | 2497820 | 3 | 09/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |