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 |
|---|---|---|---|---|---|---|---|---|
| Robert Allen Gravette | 1938019 | 3 | 02/11/2020 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Edward Earl Matthes | 2788055 | 24 | 01/28/2020 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen K Grossman | 7078788 | 2 | 01/15/2020 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas David Renison | 1863759 | 4 | 01/09/2020 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Hubert Jean de Veau | 7110358 | 1 | 12/19/2019 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Wayne Springer | 1529083 | 14 | 12/19/2019 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Lester William Burroughs | 1413972 | 26 | 12/04/2019 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Laurence Geoffrey Allen | 1063970 | 7 | 12/04/2019 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Patrick Orfin | 7856843 | 8 | 12/01/2019 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Mark David Martino | 1010228 | 12 | 11/25/2019 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |