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 |
|---|---|---|---|---|---|---|---|---|
| Michael Barrows | 2933260 | 8 | 01/16/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony N Guggino | 231693 | 3 | 01/15/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Martin Benjamson | 1161623 | 6 | 06/25/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Martin Benjamson | 1161623 | 6 | 03/19/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Zaven Andrew Yarumian | 1124759 | 4 | 09/28/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Zaven Andrew Yarumian | 1124759 | 4 | 12/08/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Martin Benjamson | 1161623 | 6 | 08/10/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Paulding Thomas | 2231234 | 10 | 05/13/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Joseph Mock | 4223858 | 5 | 06/09/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Keith Beech | 6169844 | 22 | 05/12/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |