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 |
|---|---|---|---|---|---|---|---|---|
| Edward J Neitz | 4664078 | 1 | 01/10/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joshua Hakim Nazar | 6534249 | 1 | 01/01/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Hongyu Guo | 5552477 | 1 | 12/27/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Adam Douglas Gettys | 6340221 | 1 | 12/11/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Beth Ellen Braden-Corn | 3167982 | 1 | 11/25/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Wayne Canady | 5773253 | 1 | 11/22/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Margaret N Sullivan | 6004247 | 1 | 11/07/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Freeman Merrill | 4235640 | 1 | 11/04/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joy T Estes | 3024356 | 1 | 10/22/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Hurley Brooksher | 7040493 | 1 | 10/14/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |