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 |
|---|---|---|---|---|---|---|---|---|
| Michael David Bergman | 2397138 | 2 | 01/17/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Russell Raymond Glaze | 5226039 | 1 | 01/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joung-Hee H Woo | 5485574 | 1 | 01/13/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edward J Neitz | 4664078 | 1 | 01/10/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joshua Hakim Nazar | 6534249 | 1 | 01/01/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Hongyu Guo | 5552477 | 1 | 12/27/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Adam Douglas Gettys | 6340221 | 1 | 12/11/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Beth Ellen Braden-Corn | 3167982 | 1 | 11/25/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Wayne Canady | 5773253 | 1 | 11/22/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Margaret N Sullivan | 6004247 | 1 | 11/07/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |