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 |
|---|---|---|---|---|---|---|---|---|
| John Michael Kizziah | 3009580 | 1 | 09/22/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony H Lee | 4482926 | 1 | 09/22/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Marie Collins | 3009622 | 1 | 09/16/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Katherine Margaret Jones | 4230819 | 2 | 08/01/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jose Luis Cerda | 4363996 | 1 | 07/18/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Melba Moran Ballard | 3016627 | 1 | 07/05/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jabin Wade Niles | 4923805 | 1 | 06/14/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sandra Michell Githens | 5304393 | 1 | 06/07/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel P Cavin | 4254082 | 2 | 05/20/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Davis Johnson | 4772003 | 3 | 04/04/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |