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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Paul Lee | 5847142 | 1 | 05/14/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jennifer Suzette Frick | 2626107 | 2 | 04/05/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Thomas Smith | 4086330 | 3 | 06/05/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eduardo C Marr | 1738269 | 2 | 02/21/1992 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |