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 |
|---|---|---|---|---|---|---|---|---|
| Traci Lynn Marchi | 3149504 | 1 | 06/27/2024 | Customer Dispute | Pending | $370,464.00 | $0.00 | See FINRA Report |
| John Jay Kersey | 1480524 | 14 | 06/27/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Baker Liddle | 5478479 | 13 | 06/27/2024 | Customer Dispute | Pending | $262,000.00 | $0.00 | See FINRA Report |
| Kevin John Cougle | 2251260 | 6 | 06/27/2024 | Customer Dispute | Denied | $126,000.00 | $0.00 | See FINRA Report |
| John Norman Doiron | 5305305 | 4 | 06/26/2024 | Customer Dispute | Pending | $150,000.00 | $0.00 | See FINRA Report |
| Jeffrey Arthur Perryman | 2019969 | 6 | 06/26/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Earl Matthew Hengen | 4422287 | 3 | 06/26/2024 | Customer Dispute | Denied | $8,681.33 | $0.00 | See FINRA Report |
| Alex E Paredes-Malaga | 7191576 | 1 | 06/26/2024 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| William James Novack | 1181334 | 3 | 06/26/2024 | Customer Dispute | Pending | $70,000.00 | $0.00 | See FINRA Report |
| T S Thompson | 2588490 | 20 | 06/26/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |