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 James Goucher | 6520720 | 2 | 08/24/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Surella | 7265475 | 2 | 08/23/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allyssa Shea Bridges | 7270093 | 1 | 08/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew James Goucher | 6520720 | 2 | 08/17/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Alfred Heringer | 4246602 | 1 | 08/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ashley Marie Zamora | 7083752 | 4 | 08/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Wilson Johnson | 4935301 | 3 | 08/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven George Dickel | 2227950 | 2 | 08/03/2016 | Customer Dispute | Denied | $280,000.00 | $0.00 | See FINRA Report |
| Laura Elizabeth Maxwell | 5318188 | 1 | 08/03/2016 | Customer Dispute | Settled | $172,685.00 | $0.00 | See FINRA Report |
| Keri Giusti | 7401465 | 1 | 08/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |