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 |
|---|---|---|---|---|---|---|---|---|
| James David Beaudoin | 2992651 | 4 | 06/21/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James David Beaudoin | 2992651 | 4 | 11/21/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Bryant Kerker | 1317057 | 2 | 06/18/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Peter Ferrick | 2568789 | 1 | 04/25/2019 | Customer Dispute | Award / Judgment | $225,000.00 | $515,072.00 | See FINRA Report |
| Charles Bryant Kerker | 1317057 | 2 | 03/03/2015 | Customer Dispute | Settled | $8,345.00 | $0.00 | See FINRA Report |
| James David Beaudoin | 2992651 | 4 | 09/04/2013 | Customer Dispute | Closed-No Action | $142,162.00 | $0.00 | See FINRA Report |
| Matthew Thomas Hadley | 7093252 | 1 | 09/01/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael Richard | 4487263 | 1 | 11/06/2008 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| James David Beaudoin | 2992651 | 4 | 06/11/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Antonio Garcia | 4824738 | 1 | 12/21/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |