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 |
|---|---|---|---|---|---|---|---|---|
| Philip Richard Jacoby | 1079435 | 3 | 11/02/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Buck | 1024868 | 43 | 10/31/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Russel Tweed | 2339324 | 22 | 10/02/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Terry Dean Bahgat | 1569518 | 7 | 09/28/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Michael S Moses | 2158010 | 3 | 09/22/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Leon William Vaccarelli | 3227636 | 16 | 08/31/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Louis Gene Navellier | 1792046 | 4 | 08/31/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| George Russell Thoreson | 1264272 | 5 | 08/31/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Kendall Wortman | 6252770 | 2 | 08/30/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn M Roberts | 6265290 | 2 | 08/30/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |