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 |
|---|---|---|---|---|---|---|---|---|
| Charles Rustin Holzer | 4564760 | 1 | 09/30/2022 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Allen Goodbred | 3184210 | 4 | 09/29/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| David Michael Ferraro | 4527344 | 1 | 09/29/2022 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| James Blake Daughtry | 3272282 | 9 | 09/28/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Jared Eakes | 6618313 | 2 | 09/28/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Charles Parrino | 1636997 | 3 | 09/27/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Andre Kapulenui Kaluna | 3213231 | 5 | 09/22/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| James Arthur McDonald | 4472453 | 1 | 09/21/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| David S Wells | 6774493 | 3 | 09/20/2022 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| John Mendes | 5409060 | 2 | 09/20/2022 | Civil | Final | $0.00 | $0.00 | See FINRA Report |