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 |
|---|---|---|---|---|---|---|---|---|
| Hong Chang | 6682042 | 1 | 10/27/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Dudley Massey | 3133056 | 1 | 03/23/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Scott Nevitt | 4070325 | 2 | 12/31/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Michael Simpson | 1111350 | 2 | 07/16/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |