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 |
|---|---|---|---|---|---|---|---|---|
| Raymond Carl Prospero | 5861442 | 3 | 12/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Rector Clouse | 2346017 | 1 | 10/29/2014 | Regulatory | Final | $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 |
| Charles Raymond Mays | 2257416 | 2 | 01/08/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |