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 |
|---|---|---|---|---|---|---|---|---|
| Gustavo Adolfo Cisneros | 4605804 | 1 | 03/10/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Quarterman | 3065420 | 2 | 03/04/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Lynn Copat | 2795108 | 2 | 12/19/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian James West | 4213903 | 2 | 06/30/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Katherine Margaret Jones | 4230819 | 2 | 04/29/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Aileen Nicole Dugan | 3036090 | 1 | 04/16/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Ray Brown | 3122597 | 1 | 04/04/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Demetrio Peters | 4616558 | 2 | 03/31/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Demetrio Peters | 4616558 | 2 | 03/31/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leopoldo Roca | 3002962 | 1 | 03/20/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |