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 |
|---|---|---|---|---|---|---|---|---|
| Steven Keeley | 7203174 | 2 | 08/24/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Warren Brooks | 4124275 | 2 | 08/22/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kelly Roberta Johnston | 5001042 | 1 | 08/21/2023 | Customer Dispute | Pending | $25,000,000.00 | $0.00 | See FINRA Report |
| Eric Lee Diamond | 1602991 | 3 | 08/21/2023 | Customer Dispute | Pending | $25,000,000.00 | $0.00 | See FINRA Report |
| Seddrick Maurice Robinson | 7276200 | 2 | 08/08/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nikko Richardson | 6690568 | 1 | 08/08/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ashley Marie Fitts | 7499095 | 2 | 08/05/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Chad Hervig | 2973513 | 1 | 07/12/2023 | Customer Dispute | Pending | $184,000.00 | $0.00 | See FINRA Report |
| Joseph Grant Wagstaff | 6719012 | 1 | 07/12/2023 | Customer Dispute | Pending | $184,000.00 | $0.00 | See FINRA Report |
| Samantha Raeann McDonald-Lucas | 6397945 | 2 | 07/07/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |