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 |
|---|---|---|---|---|---|---|---|---|
| Kevin C Fifield | 1627832 | 5 | 02/22/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Michael Filiaggi | 5060129 | 3 | 04/28/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Michael Filiaggi | 5060129 | 3 | 02/25/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Keith Beech | 6169844 | 22 | 04/06/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sophearath Uoy | 6644420 | 2 | 02/25/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Larry Sanders | 6031142 | 2 | 09/20/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Jerome Grant | 4468407 | 4 | 05/30/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Ballard White | 2155480 | 6 | 04/30/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sophearath Uoy | 6644420 | 2 | 11/06/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas Anthony Beane | 4859773 | 1 | 10/09/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |