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 |
|---|---|---|---|---|---|---|---|---|
| Jillanne Catherine Braun | 4587097 | 1 | 10/09/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Christopher Lizzi | 7200059 | 1 | 08/29/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Scott Morris | 3027138 | 3 | 07/29/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael David Bergman | 2397138 | 2 | 05/04/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Allen Hancock | 2999140 | 2 | 04/29/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alex Edward Post | 4907801 | 1 | 04/13/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cindy Cam Herzog | 5423750 | 1 | 04/13/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gustavo Adolfo Cisneros | 4605804 | 1 | 03/10/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Quarterman | 3065420 | 2 | 03/04/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Edward Griffin | 4089078 | 2 | 02/24/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |