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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Rivera | 2610046 | 4 | 03/24/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Stephen Casady | 2313239 | 1 | 03/22/2016 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Harold Mark Rosen | 3268135 | 2 | 03/16/2016 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Morten Nilsen | 6604458 | 1 | 03/15/2016 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Jesenik | 5331944 | 5 | 03/11/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Arthur Oliver | 5332005 | 5 | 03/11/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Wade James Lawrence | 4512225 | 7 | 02/16/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Howard Joseph Allen | 2033586 | 13 | 02/03/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph Charles Johnson | 2239381 | 3 | 02/03/2016 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Scott William Hartman | 6023625 | 3 | 01/29/2016 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |