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 |
|---|---|---|---|---|---|---|---|---|
| Neel Burman | 7459378 | 1 | 05/29/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Andrew Gouhin | 7140839 | 1 | 05/13/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Jose Augusto Barrera | 7501649 | 1 | 05/11/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Kyle Jeffrey Smith | 6411194 | 1 | 05/05/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Adam William Paffenroth | 5375337 | 1 | 04/22/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Whitaker | 6316100 | 5 | 04/17/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Caesar R Rossitto | 6402117 | 1 | 04/15/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Jesse Rafael Reyna | 7250073 | 1 | 04/09/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Gard | 6681737 | 1 | 04/07/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Juan M Garcia | 5852036 | 1 | 04/04/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |