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 |
|---|---|---|---|---|---|---|---|---|
| Catherine Mae Milano | 3003075 | 10 | 01/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Mae Milano | 3003075 | 10 | 07/29/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dean Lawerence Kiser | 2973205 | 2 | 10/31/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Dean Lawerence Kiser | 2973205 | 2 | 10/07/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Mae Milano | 3003075 | 10 | 09/21/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Catherine Mae Milano | 3003075 | 10 | 08/14/2012 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Shawn Gary O | 2494631 | 1 | 12/23/2011 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Daniel Richard Garvin | 1481768 | 2 | 12/01/2011 | Customer Dispute | Award / Judgment | $50,000.00 | $40,000.00 | See FINRA Report |
| Ryan Nicholas Shubin | 4367965 | 2 | 05/26/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Nicholas Shubin | 4367965 | 2 | 12/11/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |