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 |
|---|---|---|---|---|---|---|---|---|
| Anna Marie Ocampo Lovell | 5498414 | 1 | 03/25/2024 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Tony Alan Tolene | 5730068 | 5 | 11/10/2023 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Bradford Steven Jones | 6293198 | 1 | 09/05/2023 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Daire Peter Heneghan | 6878927 | 2 | 07/12/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sterling Carmen Hirsch | 4867105 | 4 | 05/24/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Smith | 4455394 | 1 | 04/11/2023 | Customer Dispute | Pending | $53,000.00 | $0.00 | See FINRA Report |
| Sterling Carmen Hirsch | 4867105 | 4 | 03/29/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aaron C Stasulis | 2901990 | 6 | 11/17/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph A Medina | 2793924 | 3 | 10/22/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Martin Collins | 841617 | 3 | 04/16/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |