Our Staff has compiled our research into a database of FINRA Broker Disclosures for Transitional Broker LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Michael Adam Norseth | 2456319 | 1 | 10/04/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David William James | 1241412 | 3 | 10/23/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David William James | 1241412 | 3 | 11/14/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David William James | 1241412 | 3 | 06/07/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |