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 |
|---|---|---|---|---|---|---|---|---|
| Craig Carleton Rumbaugh | 4619849 | 3 | 08/14/2019 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Guy Duncan | 73262 | 4 | 08/12/2019 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Paul John Alar | 1103911 | 3 | 07/18/2019 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Emmanuel Kouyoumdjian | 4121199 | 4 | 07/16/2019 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Henry J Wieniewitz | 4469542 | 4 | 07/15/2019 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Kerry Lee Hoffman | 1061740 | 13 | 07/01/2019 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Rashida R Presswala | 4343781 | 1 | 06/28/2019 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Martin Barry Strudwick | 2201523 | 9 | 06/27/2019 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Kelly Marie Fasterling | 6900683 | 1 | 06/27/2019 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Thomas Frederick Plaut | 1339785 | 3 | 06/25/2019 | Civil | Final | $0.00 | $0.00 | See FINRA Report |