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 |
|---|---|---|---|---|---|---|---|---|
| John Charles Kwasigroch | 2498782 | 1 | 04/29/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clay Peter Hessel | 2561166 | 1 | 05/07/2015 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Pamela Susan Davis | 1325424 | 1 | 04/01/2015 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Norbert William Naths | 2653644 | 1 | 01/18/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lyndsay Rachel Kim | 2902606 | 1 | 10/18/2002 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Burns Muench | 2345704 | 1 | 09/21/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Kevin O'Doherty | 2734542 | 1 | 02/10/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald William Devon | 6164071 | 1 | 05/11/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |