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 |
|---|---|---|---|---|---|---|---|---|
| Alexander Irwin | 7092047 | 1 | 08/23/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Devan Alia Woodward | 7371215 | 2 | 08/16/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Giacomo Parente | 4924478 | 2 | 08/02/2024 | Customer Dispute | Denied | $76,000.00 | $0.00 | See FINRA Report |
| Timothy Jeffrey Cody | 7622400 | 1 | 07/25/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Sarah Elizabeth Nisbet | 7361896 | 1 | 07/25/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Rochana Sao | 7835143 | 1 | 07/16/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Keeley | 7203174 | 2 | 07/11/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Barter Whaley | 7302559 | 1 | 07/09/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Farzad Raufi | 6943330 | 1 | 07/02/2024 | Customer Dispute | Closed-No Action | $120,000.00 | $0.00 | See FINRA Report |
| Jon M Urbach | 5308455 | 1 | 07/02/2024 | Customer Dispute | Pending | $426,273.00 | $0.00 | See FINRA Report |