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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 61 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
William Dale Dobbs10641561708/01/2024RegulatoryOn Appeal$0.00$0.00See FINRA Report
Lilia Nia6018019311/15/2023RegulatoryOn Appeal$0.00$0.00See FINRA Report
William Henry Weisbrod812664611/15/2023RegulatoryOn Appeal$0.00$0.00See FINRA Report
John E Pelletier4205289209/21/2023RegulatoryOn Appeal$0.00$0.00See FINRA Report
Marshall Dean Gunn1210021406/15/2023CriminalOn Appeal$0.00$0.00See FINRA Report
Patrick Noel Thayer5735955606/12/2023CriminalOn Appeal$0.00$0.00See FINRA Report
Michael Ciro Colletti4577898402/15/2023RegulatoryOn Appeal$0.00$0.00See FINRA Report
Mark Sam Kolta53246203012/29/2022RegulatoryOn Appeal$0.00$0.00See FINRA Report
Laurence Geoffrey Allen1063970709/23/2022RegulatoryOn Appeal$0.00$0.00See FINRA Report
David Thomas Hixon4707468407/20/2022RegulatoryOn Appeal$0.00$0.00See FINRA Report

61 Results

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