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 |
|---|---|---|---|---|---|---|---|---|
| Charles William Priest | 6783372 | 2 | 05/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Burton Alfred Tienken | 7426899 | 4 | 05/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rodrick Shun Peyton | 5373808 | 2 | 05/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marguerita R Chapman | 2950897 | 4 | 05/08/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Eugene Endicott | 6027812 | 1 | 05/07/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jean-Paul G Fauvel | 4952898 | 4 | 05/06/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| S. Michael M Helal | 2289719 | 1 | 05/05/2020 | Customer Dispute | Settled | $231,000.00 | $0.00 | See FINRA Report |
| Kevin Brian McCarthy | 6613153 | 5 | 05/04/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Wagner | 6644380 | 1 | 05/03/2020 | Customer Dispute | Denied | $62,500.00 | $0.00 | See FINRA Report |
| Christopher Anthony Pacheco | 6602286 | 1 | 05/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |