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 |
|---|---|---|---|---|---|---|---|---|
| Howard Bart Raff | 4307069 | 4 | 09/26/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Devon Olison | 2362526 | 5 | 08/02/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shane Robert Niederer | 6202734 | 2 | 04/17/2023 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Louis Stephen Nemeth | 1465420 | 1 | 02/06/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kenneth Thomas Speight | 4804919 | 1 | 03/10/2022 | Customer Dispute | Settled | $30,300.00 | $0.00 | See FINRA Report |
| Eugene Joseph Garner | 4892619 | 2 | 01/11/2022 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| Michael MacLean | 5457640 | 4 | 04/13/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Howard Orr | 1583467 | 4 | 02/04/2021 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Michael MacLean | 5457640 | 4 | 01/04/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy William Sackett | 2010125 | 5 | 07/10/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |