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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Frederik Lek | 1642936 | 20 | 03/10/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| William Paul Carlson | 1804721 | 6 | 02/21/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| George Konstantinos Doumanis | 1319088 | 6 | 02/14/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Lee Kitson | 5312687 | 7 | 02/07/2017 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Barry Franklin Connell | 3070984 | 16 | 02/03/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Breton | 3094155 | 3 | 01/25/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Connolly | 4415064 | 1 | 01/24/2017 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Deborah Diane Burns | 1619545 | 3 | 12/21/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Deborah Dickson Kelley | 1179082 | 4 | 12/21/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Brett Gordon Hartshorn | 1887505 | 1 | 12/20/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |