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 | 04/10/2019 | Customer Dispute | Settled | $404,500.00 | $0.00 | See FINRA Report |
| Patricia Ann Lloyd | 5204742 | 4 | 06/07/2017 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |