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 |
|---|---|---|---|---|---|---|---|---|
| David Andrew Brooks | 4000767 | 1 | 01/25/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sean Patrick Swanson | 5041694 | 1 | 10/02/2006 | Customer Dispute | Denied | $11,168.70 | $0.00 | See FINRA Report |