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 |
|---|---|---|---|---|---|---|---|---|
| Brian Patrick Abad | 2923073 | 1 | 05/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrisha Lee | 1624182 | 2 | 05/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Harry Albers | 2325 | 12 | 05/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Harry Albers | 2325 | 12 | 05/08/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrisha Lee | 1624182 | 2 | 05/04/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Eric Broman | 2731754 | 1 | 04/21/2015 | Customer Dispute | Settled | $72,000.00 | $0.00 | See FINRA Report |
| John Albert Guntkowski | 4679214 | 2 | 02/13/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kent James Teixeira | 2888191 | 1 | 02/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Harry Albers | 2325 | 12 | 02/05/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Arrington Clarke | 6326400 | 1 | 01/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |