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 |
|---|---|---|---|---|---|---|---|---|
| Paul Nicholas Nicholson | 1384330 | 4 | 04/08/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Diane Patricia Novak | 1857183 | 1 | 04/08/2011 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Rafael Ramon Sanchez | 1257900 | 12 | 04/07/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Alex M Martinez | 2107280 | 2 | 04/07/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Garrett Drew Bauer | 2287878 | 3 | 04/06/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen M Coleman | 1004434 | 5 | 03/30/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Sholom Frishberg | 1322263 | 4 | 03/25/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| James John Konaxis | 1664406 | 4 | 03/23/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy John Roth | 722565 | 4 | 03/21/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Somers | 2112165 | 1 | 03/17/2011 | Civil | Final | $0.00 | $0.00 | See FINRA Report |