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 |
|---|---|---|---|---|---|---|---|---|
| Rachel Jean Wakefield | 2159763 | 1 | 02/28/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Nasser Ahmad | 5526341 | 1 | 02/23/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Robert Mark Pecha | 5579770 | 2 | 02/21/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Smith | 3128757 | 2 | 02/07/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Bradley Aaron Sutton | 7168581 | 3 | 02/06/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Joseph Kozloski | 5486167 | 3 | 02/01/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alain J Welty | 2067950 | 1 | 01/29/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Helen Grace Caldwell | 1957501 | 7 | 01/23/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Lee Anthony Giobbie | 5096730 | 1 | 01/22/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Darleen Marie Lehmann | 7040978 | 1 | 01/09/2024 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |