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 |
|---|---|---|---|---|---|---|---|---|
| Tulio Barbosa Ribeiro | 6360250 | 1 | 05/16/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Arthur Wayne Potter | 2116906 | 2 | 01/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Wayne Potter | 2116906 | 2 | 02/15/2012 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |