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 |
|---|---|---|---|---|---|---|---|---|
| Pamela Hansen Alfred | 3039054 | 1 | 06/26/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leigh Ann Greene | 6493407 | 1 | 04/14/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Scott Morris | 3027138 | 3 | 03/01/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jared John Mula | 5984278 | 1 | 02/28/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Troy Lee Gonzales | 3027219 | 1 | 02/22/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| George Quarterman | 3065420 | 2 | 09/23/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| 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 |