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 |
|---|---|---|---|---|---|---|---|---|
| George Sherman Larry | 4922516 | 1 | 12/05/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Samuel Quinlan | 7690480 | 1 | 04/26/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jose Rodolfo Manzon | 7744318 | 2 | 04/05/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Caroline Copeland Dorris | 6113391 | 1 | 05/19/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Anthony Brewer | 4214479 | 1 | 02/06/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Michael Tatro | 5277282 | 3 | 11/20/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Donna Lea Vaughn | 4616196 | 1 | 11/14/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Michael Smith | 3110556 | 1 | 03/03/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Montyne King Clay | 4044716 | 1 | 08/20/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rocco Gerard Casinelli | 2423460 | 1 | 04/09/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |