Our Staff has compiled our research into a database of FINRA Broker Disclosures for Vision 4 Fund Distributors. 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 |
|---|---|---|---|---|---|---|---|---|
| Gerhard Otto Bochow | 703675 | 1 | 04/19/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cornelius Joseph Sullivan | 2094448 | 2 | 08/29/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cornelius Joseph Sullivan | 2094448 | 2 | 10/04/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Reed Spencer Gilbert | 4653481 | 1 | 09/15/2005 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Jason Eric Jackson | 2810192 | 1 | 09/07/1999 | Customer Dispute | Settled | $5,697.75 | $0.00 | See FINRA Report |
| Sean P Maguire | 1874125 | 1 | 10/30/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |