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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Lorne Howard Levy | 5581130 | 1 | 02/27/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Marc Richard Barnes | 7716690 | 1 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Andrew Roggenkamp | 7364118 | 3 | 04/06/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Thomas Drawdy | 4966255 | 1 | 07/09/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jacob Andrew Roggenkamp | 7364118 | 3 | 06/27/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jacob Andrew Roggenkamp | 7364118 | 3 | 05/05/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Phillip Margulin | 2373728 | 1 | 01/05/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Thomas Ryan Williams | 6005200 | 1 | 12/11/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Linton Avery | 1101029 | 1 | 12/27/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Christopher Winters | 2598188 | 4 | 04/24/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |