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 |
|---|---|---|---|---|---|---|---|---|
| Spencer Walker Epps | 7408643 | 1 | 12/06/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dale Douglas Schroeder | 4485005 | 1 | 09/29/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jared Michaud Kaplan | 2886837 | 1 | 09/16/2022 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Ghislain Gouraige | 1845864 | 1 | 09/16/2022 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Michaelangelo Dooley | 5859446 | 1 | 09/16/2022 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Joshua Peter Gully | 1406584 | 1 | 01/11/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Glen Ryan Mintz | 2189984 | 1 | 04/19/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Howard Remis | 5949597 | 3 | 03/03/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Howard Remis | 5949597 | 3 | 11/29/2020 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Matthew Howard Remis | 5949597 | 3 | 06/29/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |