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 |
|---|---|---|---|---|---|---|---|---|
| Nicolle Annette Niehaus | 7220511 | 3 | 02/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Tuyen Nguyen | 7539027 | 1 | 02/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jackson Roger Robinson | 7097566 | 2 | 02/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Morgan Landes Carter | 6270471 | 3 | 02/06/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Fernando Set Degracia | 6233402 | 5 | 01/31/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Elizabeth Mattice | 6841936 | 6 | 01/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hailey Marie Siverhus | 7229159 | 1 | 01/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Anthony Polcari | 1130799 | 1 | 01/23/2019 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Jonathan Guerrero | 6979000 | 2 | 01/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amber Rose Melvin | 7166987 | 2 | 01/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |