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 |
|---|---|---|---|---|---|---|---|---|
| Angelo Lipps Joseph Ferro | 7118725 | 1 | 09/17/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven John Foster | 5640879 | 1 | 09/16/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Penoyer | 7293440 | 2 | 09/10/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Walia | 2951490 | 2 | 09/08/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Leonard Mead Newton | 6673929 | 1 | 09/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jean-Paul G Fauvel | 4952898 | 4 | 09/06/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Benjamin Clay Frazier | 7386011 | 4 | 09/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Garrett Wade Hargis | 7449174 | 3 | 09/02/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Austin Scott Lowery | 6615383 | 1 | 08/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maria Guadalupe Conover | 7454717 | 1 | 08/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |