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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Thomas Jarvis | 4082250 | 2 | 02/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Handley | 4291837 | 1 | 09/04/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Woods | 7863740 | 1 | 08/23/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cathy Anne Pasut | 4437305 | 1 | 07/01/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Scott Little | 6791553 | 2 | 06/15/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Trung van Nguyen | 5749825 | 2 | 04/30/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Trung van Nguyen | 5749825 | 2 | 04/30/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Sean Barrios | 2534409 | 2 | 02/24/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Merritt Ray Vaughn | 1604536 | 2 | 12/09/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lisa A Carreon | 5132331 | 1 | 11/28/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |