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 |
|---|---|---|---|---|---|---|---|---|
| Kallie Tinsen | 5788864 | 1 | 09/03/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Allen John Hegener | 1136011 | 3 | 08/27/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Adrian P de Armas | 2080287 | 4 | 08/27/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Harold Stumbo | 1505092 | 5 | 08/26/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Paul Gehlen | 2148074 | 4 | 08/22/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hal Edgar Lorton | 2051601 | 1 | 08/19/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Evan Taejin Chung | 5588473 | 1 | 08/13/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Jay Kirkpatrick | 1460378 | 1 | 08/13/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory Robert Rochte | 1633581 | 7 | 08/13/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth A Gaddis | 5928042 | 1 | 08/12/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |