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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Allen Simpson | 3093722 | 3 | 12/19/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Joseph Allen Simpson | 3093722 | 3 | 09/19/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Allen Simpson | 3093722 | 3 | 09/19/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Rachel Lynn McDonough | 4638011 | 1 | 06/21/2021 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Paul Thomas Rutkowski | 1930617 | 4 | 05/21/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Allen Vandenheuvel | 6290192 | 1 | 01/11/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Paul Thomas Rutkowski | 1930617 | 4 | 04/12/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Thomas Grady | 4410102 | 1 | 03/25/2015 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Paul Thomas Rutkowski | 1930617 | 4 | 08/02/2014 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| Jordan K Twogood | 6067811 | 1 | 10/07/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |