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 |
|---|---|---|---|---|---|---|---|---|
| Michael Gerard Velasco | 1831058 | 3 | 12/21/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Emanuel Joshua Friedman | 214565 | 4 | 12/20/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Edwin Buchanan Lyon, IV | 2042309 | 2 | 12/12/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffery Dejuan Hurd | 2383598 | 1 | 12/02/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Jeffrey Dawson | 1055355 | 6 | 11/30/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Johnson | 2249625 | 1 | 11/16/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Sewon Ehee | 1850583 | 2 | 11/08/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jamie Leigh Solow | 1137090 | 3 | 11/08/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| James Joseph Puplava | 736091 | 2 | 10/27/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Kangsan Kim | 4088284 | 3 | 10/24/2006 | Civil | Final | $0.00 | $0.00 | See FINRA Report |