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 |
|---|---|---|---|---|---|---|---|---|
| Sean D Weiss | 6855798 | 1 | 05/31/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Carl Prospero | 5861442 | 3 | 12/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Raymond Mays | 2257416 | 2 | 10/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Larry Philip Isaacs | 1230231 | 1 | 10/12/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kimberly Rector Clouse | 2346017 | 1 | 10/29/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin M Peterson | 5835662 | 1 | 06/21/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Raymond Carl Prospero | 5861442 | 3 | 12/04/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Carl Prospero | 5861442 | 3 | 10/25/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alfred Alexander Cantilina | 6357462 | 1 | 07/16/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Laurel Beth Mann | 4154867 | 1 | 12/01/2006 | Customer Dispute | Denied | $6,593.65 | $0.00 | See FINRA Report |