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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Christopher Straub | 3246391 | 1 | 02/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edgar Alejandro Ramos | 3175186 | 1 | 02/20/2015 | Customer Dispute | Settled | $88,707.00 | $0.00 | See FINRA Report |
| Toby J Pickett | 5363157 | 3 | 02/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alex Brandon Farrar | 6641970 | 3 | 02/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Eugene Thompson | 5030101 | 3 | 02/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly A Brezen | 4019156 | 1 | 02/12/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cheri Watson | 5321631 | 3 | 02/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheri Watson | 5321631 | 3 | 02/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheri Watson | 5321631 | 3 | 02/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Daniel Raymond | 6220829 | 1 | 02/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |