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 |
|---|---|---|---|---|---|---|---|---|
| Jesse Frieden | 7707693 | 1 | 02/01/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erin Dale Schwan | 5757262 | 2 | 01/27/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Mark Cooper | 6366459 | 1 | 01/05/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Owen Rich | 6223427 | 1 | 11/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zachery Moore | 7205029 | 1 | 10/19/2015 | Financial | 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 |
| Christopher James | 7321675 | 1 | 10/04/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Amy Cliborne Simpkins | 4654575 | 1 | 09/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Elizabeth Whitcomb | 2872792 | 1 | 09/09/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Misty Marie Kern | 7673953 | 2 | 08/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |