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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Michael Fratarcangeli | 2703603 | 3 | 04/22/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tania Lashae Smith | 5208859 | 9 | 08/27/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tania Lashae Smith | 5208859 | 9 | 05/18/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tania Lashae Smith | 5208859 | 9 | 04/22/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thompson Sylvester Phillips | 843039 | 2 | 03/25/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tania Lashae Smith | 5208859 | 9 | 08/10/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeannette Ann Adcock | 1432053 | 15 | 05/17/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Louis Rozema | 703960 | 4 | 10/02/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wanda Jo Ross | 3112244 | 4 | 06/10/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Terry Richard Holcomb | 1618936 | 2 | 08/28/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |