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 |
|---|---|---|---|---|---|---|---|---|
| Adam Rendle | 7127223 | 2 | 12/28/2018 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Michael Francisco Gaona | 6742148 | 1 | 05/06/2017 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Gregory Mark Smith | 1672931 | 3 | 01/12/2017 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Thomas Ohearn Eifler | 1817915 | 5 | 12/31/2016 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Matthew David Niederbaumer | 4553475 | 5 | 06/20/2016 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Aaron Klye Lanteigne | 5207043 | 2 | 03/17/2016 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Nathan Ernest Smith | 1991498 | 1 | 08/20/2015 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Eric Adair | 5870908 | 1 | 07/08/2015 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| John Charles Roesinger | 4825714 | 1 | 06/02/2015 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Marc Robert Engelman | 1702369 | 2 | 02/24/2015 | Civil Bond | $0.00 | $0.00 | See FINRA Report |