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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Christopher Royse | 7265814 | 2 | 11/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Elaine Arrington Thomas | 7043901 | 1 | 10/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marin Lia Thomason | 7442586 | 1 | 10/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Gage | 7200178 | 1 | 10/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Oneal Prudhomme | 6723746 | 1 | 10/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Monica Mary Biskup | 4139618 | 1 | 10/13/2016 | Customer Dispute | Denied | $29,230.00 | $0.00 | See FINRA Report |
| Kalpana K Thakkar | 2744931 | 1 | 10/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle Scott Albahary | 7434629 | 2 | 10/10/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marie Alana Galke | 6233264 | 1 | 10/06/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Travis Michael Moore | 7655666 | 1 | 10/06/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |