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 |
|---|---|---|---|---|---|---|---|---|
| Kristine Nelson Facto | 4389214 | 1 | 03/12/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas John Dudek | 5751866 | 1 | 01/01/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Emond Falaq Richardson | 6492682 | 1 | 09/11/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kelly Jay Burns | 3242984 | 2 | 02/14/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas John Tagler | 3008881 | 1 | 02/05/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sara Elizabeth Schultze | 5877400 | 1 | 01/15/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Clyde Hill | 3027385 | 1 | 01/02/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Wilfredo Mendez Morales | 3105243 | 3 | 08/28/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jennifer Leigh Marietta | 6328344 | 1 | 07/11/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Collins | 4695986 | 1 | 05/05/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |