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 |
|---|---|---|---|---|---|---|---|---|
| Bruce Keebeck Lee | 1464745 | 3 | 10/23/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Keebeck Lee | 1464745 | 3 | 04/18/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher John Duff | 6420062 | 1 | 02/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Keebeck Lee | 1464745 | 3 | 04/10/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |