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 |
|---|---|---|---|---|---|---|---|---|
| Todd Patton | 2055581 | 1 | 03/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Elizabeth Mattice | 6841936 | 6 | 03/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Paul Keys | 7697378 | 1 | 03/02/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marguerita R Chapman | 2950897 | 4 | 03/02/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Philip Pratt | 7703734 | 1 | 02/19/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Mogavero | 1869961 | 1 | 02/16/2021 | Customer Dispute | Denied | $5,854.05 | $0.00 | See FINRA Report |
| David Allen Cunningham | 7395760 | 1 | 02/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Palmer Hanks | 2448406 | 1 | 02/05/2021 | Customer Dispute | Denied | $18,506.00 | $0.00 | See FINRA Report |
| Robert Walter Admirand | 7371835 | 1 | 02/05/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Fortin | 7157461 | 1 | 01/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |