Our Staff has compiled our research into a database of FINRA Broker Disclosures for Securities Management & Research, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Derek Ralph Banks | 4182681 | 6 | 07/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derek Ralph Banks | 4182681 | 6 | 01/19/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derek Ralph Banks | 4182681 | 6 | 12/30/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derek Ralph Banks | 4182681 | 6 | 11/06/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Douglas Thomas | 2737704 | 2 | 09/02/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derek Ralph Banks | 4182681 | 6 | 07/31/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Wayne Weiss | 4115541 | 5 | 09/28/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Sobel | 1086103 | 1 | 12/07/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |