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 |
|---|---|---|---|---|---|---|---|---|
| Jamal Ishmael Turner | 7270112 | 1 | 09/22/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua A Frieze | 6254164 | 1 | 09/21/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carson William Dean | 7624930 | 2 | 09/20/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John David Erickson | 5531268 | 1 | 09/12/2014 | Customer Dispute | Settled | $84,000.00 | $0.00 | See FINRA Report |
| Steven Grant Sims | 6509853 | 1 | 08/10/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Jason Aulicino | 4943493 | 2 | 06/13/2014 | Customer Dispute | Denied | $5,579.00 | $0.00 | See FINRA Report |
| James V Dunleavy | 6323868 | 1 | 05/27/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Moeser | 7795110 | 1 | 04/30/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Fernando de Marcaida Poe | 5220849 | 1 | 03/11/2014 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Demerral Lashawn Murray | 7028720 | 1 | 03/10/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |