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 |
|---|---|---|---|---|---|---|---|---|
| Richard Grant Cody | 2794558 | 35 | 12/12/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Rafael Antonio Calleja | 2777245 | 5 | 11/22/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Sean Carter | 3107119 | 4 | 11/17/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Marc David Broidy | 2808216 | 3 | 10/27/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Ikenna Obiajulu Gogo Ikokwu | 4170987 | 5 | 09/30/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Rajinder Kohli | 1064334 | 12 | 09/28/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| John Alan Moore | 1798908 | 2 | 09/27/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Augustus Banks | 2254454 | 3 | 09/09/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Daniel Mosshart | 3174050 | 3 | 08/26/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Marie Vorce | 6345201 | 1 | 08/18/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |