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 |
|---|---|---|---|---|---|---|---|---|
| Bret Lee Niemuth | 2356735 | 3 | 04/03/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bret Lee Niemuth | 2356735 | 3 | 10/31/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bret Lee Niemuth | 2356735 | 3 | 11/24/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Howard Locke | 6072866 | 1 | 05/09/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kylee Zane | 5009525 | 1 | 01/19/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |