Our Staff has compiled our research into a database of FINRA Broker Disclosures for Finalis Securities LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Eric Shawn White | 6191139 | 1 | 05/10/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Todd Martin Squier | 7441360 | 1 | 04/12/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Christopher Delay | 4856512 | 1 | 04/18/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Matthew Cain | 7450325 | 2 | 11/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gordon David Adelsberg | 7037265 | 3 | 09/30/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew Sandberg | 6901765 | 1 | 01/15/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul John Schwendel | 1686792 | 1 | 12/03/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gordon David Adelsberg | 7037265 | 3 | 01/01/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gordon David Adelsberg | 7037265 | 3 | 01/01/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Martin Beach | 2764171 | 14 | 12/16/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |