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 |
|---|---|---|---|---|---|---|---|---|
| Joshua John Sands | 5517842 | 1 | 09/26/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Richard Rohrwasser | 1131231 | 3 | 06/24/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Mark Visser | 3023343 | 2 | 09/16/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Mark Visser | 3023343 | 2 | 10/11/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Patrick Lynch | 2166274 | 1 | 02/12/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jerome Jacob Kahn | 2115820 | 1 | 01/17/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |