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 |
|---|---|---|---|---|---|---|---|---|
| Nicco Vella | 7795809 | 1 | 04/12/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Pablo Elizardo Sanchez | 4914753 | 1 | 02/12/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Leslie Marie West | 4714416 | 2 | 01/15/2014 | Customer Dispute | Denied | $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 |
| Gregory Curtis Edds | 3046838 | 1 | 07/29/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kelly Lane Richards | 4912251 | 1 | 02/06/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott William Case | 6438680 | 1 | 12/24/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donna Lea Vaughn | 4616196 | 1 | 11/14/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brenton Matthew Troyer | 6519107 | 1 | 09/28/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |