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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Michael Moran | 709062 | 3 | 03/01/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Stefanie Drack | 7055089 | 3 | 02/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stefanie Drack | 7055089 | 3 | 09/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stefanie Drack | 7055089 | 3 | 04/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christina Shaw | 4948858 | 1 | 05/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julie Rich | 3213079 | 1 | 02/01/2005 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Thomas Michael Moran | 709062 | 3 | 01/04/2000 | Customer Dispute | Denied | $73,190.00 | $0.00 | See FINRA Report |
| Thomas Michael Moran | 709062 | 3 | 08/04/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |