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 |
|---|---|---|---|---|---|---|---|---|
| James R Nici | 4336536 | 1 | 05/14/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Jon MacDonald | 736552 | 1 | 03/26/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Robert Rogers | 3103041 | 1 | 03/27/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |