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FINRA Broker Disclosures

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.

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Displaying 10 out of 322 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Sean Frederick Lawton2201192108/30/2024Investigation$0.00$0.00See FINRA Report
Marc Harrison1605568108/14/2024Investigation$0.00$0.00See FINRA Report
Clifford Ronald Reid1905920608/14/2024Investigation$0.00$0.00See FINRA Report
Edward Joseph Rudiger21187241208/14/2024Investigation$0.00$0.00See FINRA Report
Chad Michael Rogers4029698508/08/2024Investigation$0.00$0.00See FINRA Report
Nathan David Cox7141539308/05/2024Investigation$0.00$0.00See FINRA Report
Bruce Douglas Rellstab2124973107/30/2024Investigation$0.00$0.00See FINRA Report
Chris S Stocks2600346407/23/2024Investigation$0.00$0.00See FINRA Report
James Joseph Lukezic4284800107/12/2024Investigation$0.00$0.00See FINRA Report
Anthony Nick Porchetta2287386307/09/2024Investigation$0.00$0.00See FINRA Report

322 Results

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