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 |
|---|---|---|---|---|---|---|---|---|
| Sean Frederick Lawton | 2201192 | 1 | 08/30/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Marc Harrison | 1605568 | 1 | 08/14/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Clifford Ronald Reid | 1905920 | 6 | 08/14/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Edward Joseph Rudiger | 2118724 | 12 | 08/14/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Chad Michael Rogers | 4029698 | 5 | 08/08/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Nathan David Cox | 7141539 | 3 | 08/05/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Bruce Douglas Rellstab | 2124973 | 1 | 07/30/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Chris S Stocks | 2600346 | 4 | 07/23/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| James Joseph Lukezic | 4284800 | 1 | 07/12/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Anthony Nick Porchetta | 2287386 | 3 | 07/09/2024 | Investigation | $0.00 | $0.00 | See FINRA Report |