Our Staff has compiled our research into a database of FINRA Broker Disclosures. 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 |
|---|---|---|---|---|---|---|---|---|
| Nathaniel Royce Clay | 4525541 | 11 | 01/12/2023 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Cooper James Morgenthau | 5815568 | 2 | 01/03/2023 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Samuel Benjamin Bankman-Fried | 6204362 | 1 | 12/13/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Kenneth Galvani | 3048728 | 2 | 11/17/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Stuart A Jeffery | 5241790 | 1 | 11/17/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| William Stewart Carpenter | 1157630 | 2 | 11/02/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Coleigh Blaine McKay | 5095690 | 2 | 10/28/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Stephen Allen Schwarzman | 861435 | 4 | 10/07/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| James Lee Goldberg | 1433272 | 2 | 09/30/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Stephen Lance Braverman | 1731936 | 12 | 09/30/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |