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 |
|---|---|---|---|---|---|---|---|---|
| David Robert Wicker | 7500703 | 1 | 03/04/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathryn Colleen Slaughter | 7413792 | 1 | 03/03/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Charles Schneider | 6642656 | 2 | 03/03/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven P Adwar | 6499104 | 1 | 03/02/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Romero | 7395452 | 1 | 03/01/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey R Leichman | 4597292 | 2 | 02/19/2022 | Customer Dispute | Denied | $27,739.00 | $0.00 | See FINRA Report |
| Kara Lindsey Gray | 7505076 | 1 | 02/09/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ruth Mary Torres | 7386035 | 1 | 02/03/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Adrian Deluren Garcia | 6107061 | 1 | 01/26/2022 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Erick Michaelson | 6280804 | 3 | 01/23/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |