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 |
|---|---|---|---|---|---|---|---|---|
| David A Dodson | 2363957 | 3 | 03/22/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher John Mc Caffrey | 2735236 | 3 | 01/23/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David A Dodson | 2363957 | 3 | 06/30/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher John Mc Caffrey | 2735236 | 3 | 01/19/2022 | Customer Dispute | Settled | $15,531,600.00 | $0.00 | See FINRA Report |
| Ian E James | 2602300 | 1 | 11/30/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy J Rigsby | 5656773 | 1 | 07/29/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David James Lloyd | 5012137 | 1 | 07/29/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alexander Joseph King | 6526804 | 1 | 11/13/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Chin | 1380575 | 6 | 06/04/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Chin | 1380575 | 6 | 05/12/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |