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 |
|---|---|---|---|---|---|---|---|---|
| Gwyndena Williams Petrick | 3031079 | 2 | 11/14/2016 | Regulatory | 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 |
| John Mark Cooper | 6366459 | 1 | 01/05/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Lander Haynes Kelly | 4938314 | 1 | 10/05/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Peters | 3069791 | 1 | 08/10/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Louie Devega | 5576899 | 1 | 10/08/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lori Michelle Pasion | 4938709 | 1 | 10/01/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Rich | 3012693 | 1 | 09/17/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Iris Hisako Kuwaye | 3017080 | 3 | 09/15/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |