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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Paul Spera | 1608176 | 3 | 12/19/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Matthew Hirsch | 2914893 | 5 | 12/19/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Paul Spera | 1608176 | 3 | 12/11/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Edward McClure | 2289844 | 4 | 12/11/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Louis Gerald Mohlman | 1200102 | 7 | 12/08/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Wescoe Smith | 1070735 | 22 | 12/07/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| James Tao | 3260224 | 4 | 12/05/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Donna Chen | 4982316 | 6 | 12/05/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Carl Mascho | 2039720 | 24 | 12/01/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Costa Kelter | 2787858 | 4 | 11/09/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |