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 |
|---|---|---|---|---|---|---|---|---|
| Sandra Standifer Fennell | 5373394 | 1 | 03/05/2018 | Customer Dispute | Denied | $12,409.00 | $0.00 | See FINRA Report |
| Kolby Lucas Ripper | 7067536 | 1 | 03/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus Rafael Sarzalejo | 5468823 | 1 | 03/01/2018 | Customer Dispute | Denied | $5,548.00 | $0.00 | See FINRA Report |
| Jeffrey Brown Gaulding | 6378341 | 1 | 03/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thaddeus Joseph Dahl | 6803168 | 1 | 02/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Frederick | 3048630 | 1 | 02/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Nelson Brodie | 1492095 | 2 | 02/16/2018 | Customer Dispute | Closed-No Action | $285,600.00 | $0.00 | See FINRA Report |
| Victoria D Marshall | 6435476 | 3 | 02/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cassandra Broughton | 7881947 | 1 | 02/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joiya Deanne Mitchell | 5194139 | 1 | 02/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |