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 |
|---|---|---|---|---|---|---|---|---|
| Steve E Tremblay | 5225000 | 3 | 10/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Victoria D Marshall | 6435476 | 3 | 10/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Nathan Robinson | 6775757 | 1 | 10/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Danielle Lee Pettiette Erlinger | 6510481 | 2 | 10/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Danielle Lee Pettiette Erlinger | 6510481 | 2 | 10/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Yara L Goldswell | 7543712 | 3 | 10/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Anthony Aubertin | 5453523 | 2 | 09/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amanda Michelle Ives | 5215712 | 1 | 09/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Naomi Clara Jean Lyle | 6873837 | 1 | 09/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn Ryan Kenney | 7442522 | 3 | 09/20/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |