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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Case | 6769233 | 1 | 01/04/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander Lionel Anneker | 5058343 | 1 | 12/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Brian van Horn | 7542822 | 1 | 12/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gwyndena Williams Petrick | 3031079 | 2 | 11/14/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Liston Gainey | 7096683 | 1 | 07/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kerry Suzette Denton | 3192536 | 1 | 06/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kykeisha Bradwell Dickerson | 2316200 | 1 | 05/17/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Iris Hisako Kuwaye | 3017080 | 3 | 03/31/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sophia M Vandenbout | 7842374 | 1 | 02/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Mark Cooper | 6366459 | 1 | 01/05/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |