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 |
|---|---|---|---|---|---|---|---|---|
| Roxanne May Haug | 5532672 | 1 | 04/13/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Stephen Reid | 6485291 | 1 | 03/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Charles Mottern | 4723169 | 1 | 01/12/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Philip Alan Sugg | 5102703 | 1 | 12/01/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Valentine | 7698877 | 2 | 03/12/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Valentine | 7698877 | 2 | 01/30/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Everett Slater | 4546582 | 1 | 12/12/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Joseph Haas | 3027062 | 1 | 06/09/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Edward Russell | 6339616 | 2 | 01/22/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Scott Little | 6791553 | 2 | 01/21/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |