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 |
|---|---|---|---|---|---|---|---|---|
| Shannon Kelly Klug | 2451747 | 3 | 06/24/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Jay Guzzo | 2923132 | 1 | 06/24/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Florin Ilovici | 5278371 | 2 | 06/20/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Ranjit Mangha Kripalani | 1474932 | 7 | 06/06/2011 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Lloyd Vernon Barriger | 1018793 | 3 | 05/13/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Len Leboeuf | 1553647 | 6 | 05/11/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| John Robert Graves | 3071360 | 3 | 04/18/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| John Brady Guyette | 1711681 | 9 | 04/18/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Keenan R Hauke | 2484992 | 3 | 04/15/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Kevin Keough | 2106695 | 3 | 04/14/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |