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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Jacob Dawson | 5418933 | 3 | 11/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua David Stamm | 4557338 | 4 | 05/14/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua David Stamm | 4557338 | 4 | 01/11/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Jacob Dawson | 5418933 | 3 | 12/15/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ronald Jacob Dawson | 5418933 | 3 | 07/12/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joshua David Stamm | 4557338 | 4 | 06/29/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joshua David Stamm | 4557338 | 4 | 04/08/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |