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 |
|---|---|---|---|---|---|---|---|---|
| Joel Michael Gruber | 5445408 | 1 | 08/15/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Maxwell Ifeanyi James | 4123702 | 1 | 07/25/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dustin Matthew Hill | 4186720 | 8 | 07/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Michael Cockrum | 6345050 | 1 | 06/16/2022 | Customer Dispute | Settled | $12,973.00 | $0.00 | See FINRA Report |
| Joe Dan McAdams | 3142894 | 1 | 05/05/2022 | Customer Dispute | Settled | $251,740.00 | $0.00 | See FINRA Report |
| Cary Michael Runnells | 4145744 | 1 | 04/05/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Byron Heberto Estrada | 4835863 | 1 | 02/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Harry Perrine Disbrow | 5522535 | 1 | 01/14/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sherwin Shafiee | 6338719 | 1 | 12/03/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Devin Zachary Smith | 5073546 | 1 | 11/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |