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 |
|---|---|---|---|---|---|---|---|---|
| Blake Bancroft Richards | 4051402 | 3 | 05/23/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Lutz Bergin | 2809845 | 2 | 05/23/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Joseph Dushek | 2120926 | 4 | 05/16/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Brad Richard Hawkins | 4450017 | 2 | 05/15/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| James T Crane | 5163096 | 2 | 05/08/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jasper E Biddy | 3212045 | 2 | 04/29/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jay John Soojian | 2768599 | 3 | 04/19/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Edward James | 5143807 | 1 | 04/18/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Michael Ondrak | 4993091 | 1 | 04/12/2013 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Perry Samuel Sawano | 2221293 | 4 | 04/08/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |