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 |
|---|---|---|---|---|---|---|---|---|
| Margaret Yamashita | 5058487 | 1 | 09/02/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leslie Marie West | 4714416 | 2 | 05/01/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ricardo F Sempertegui | 5691200 | 1 | 12/20/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Iris Hisako Kuwaye | 3017080 | 3 | 09/30/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kelly Lane Richards | 4912251 | 1 | 02/06/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brenton Matthew Troyer | 6519107 | 1 | 09/28/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Pamela Hansen Alfred | 3039054 | 1 | 06/26/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Scott Morris | 3027138 | 3 | 03/01/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jared John Mula | 5984278 | 1 | 02/28/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Quarterman | 3065420 | 2 | 09/23/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |