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 |
|---|---|---|---|---|---|---|---|---|
| William Dale Dobbs | 1064156 | 17 | 08/01/2024 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Lilia Nia | 6018019 | 3 | 11/15/2023 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| William Henry Weisbrod | 812664 | 6 | 11/15/2023 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| John E Pelletier | 4205289 | 2 | 09/21/2023 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Marshall Dean Gunn | 1210021 | 4 | 06/15/2023 | Criminal | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Patrick Noel Thayer | 5735955 | 6 | 06/12/2023 | Criminal | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Michael Ciro Colletti | 4577898 | 4 | 02/15/2023 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Mark Sam Kolta | 5324620 | 30 | 12/29/2022 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Laurence Geoffrey Allen | 1063970 | 7 | 09/23/2022 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| David Thomas Hixon | 4707468 | 4 | 07/20/2022 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |