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 |
|---|---|---|---|---|---|---|---|---|
| Foster Ofori Kyei | 6479268 | 3 | 05/01/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Hughes | 4381929 | 1 | 03/30/2012 | Customer Dispute | Denied | $56,950.00 | $0.00 | See FINRA Report |
| Ian Stevens | 6236475 | 2 | 03/21/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Joseph Fennessey | 5570169 | 1 | 03/19/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Edwards Nelson | 6385321 | 1 | 03/07/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Riley Fultz | 6557697 | 3 | 01/20/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Frietch | 5199442 | 1 | 01/13/2012 | Customer Dispute | Denied | $19,495.00 | $0.00 | See FINRA Report |
| Mark Raymond Prunier | 4228545 | 1 | 01/13/2012 | Customer Dispute | Denied | $19,495.00 | $0.00 | See FINRA Report |
| Arjay Sy Ignacio | 4881841 | 1 | 01/09/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Luke Michael Strain | 7633938 | 2 | 01/03/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |