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 |
|---|---|---|---|---|---|---|---|---|
| Mark Gordon Neil | 2233145 | 1 | 04/04/2004 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Nathanael Lee Arthurs | 2395434 | 1 | 03/22/2004 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Caleb Michael Svoboda | 4618199 | 1 | 05/25/2003 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Heidi L Martin | 5493406 | 1 | 01/21/2003 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Rollin Vincent Amore | 1228883 | 2 | 01/02/2003 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| James Gray Spencer | 1741514 | 1 | 08/13/2002 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Hunter Bodwell | 4715199 | 1 | 06/20/2002 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| James Mathew Chappel | 2241621 | 1 | 06/12/2002 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Krystal Rae Marazzi | 7063700 | 2 | 02/21/2002 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Thomas Wahl Potts | 1999443 | 1 | 03/15/2001 | Civil Bond | $0.00 | $0.00 | See FINRA Report |