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 |
|---|---|---|---|---|---|---|---|---|
| Sean Robert Sullivan | 4769711 | 3 | 10/19/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Robert Sullivan | 4769711 | 3 | 04/10/2019 | Customer Dispute | Settled | $404,500.00 | $0.00 | See FINRA Report |
| Christopher James Bowman | 6169033 | 1 | 03/04/2019 | Customer Dispute | Denied | $5,600.00 | $0.00 | See FINRA Report |
| Patricia Ann Lloyd | 5204742 | 4 | 05/24/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patricia Ann Lloyd | 5204742 | 4 | 06/07/2017 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Christopher Alan Patterson | 4039371 | 1 | 08/29/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Ann Lloyd | 5204742 | 4 | 02/20/2015 | Customer Dispute | Denied | $19,800.00 | $0.00 | See FINRA Report |
| Patricia Ann Lloyd | 5204742 | 4 | 04/24/2013 | Customer Dispute | Denied | $49,803.50 | $0.00 | See FINRA Report |
| Sean Robert Sullivan | 4769711 | 3 | 12/06/2006 | Customer Dispute | Closed-No Action | $18,294.00 | $0.00 | See FINRA Report |
| Todd Stephen Smith | 2942236 | 1 | 06/06/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |