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 |
|---|---|---|---|---|---|---|---|---|
| Wahab S Daud | 6315432 | 1 | 01/13/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ryan Emerson Bennett | 6274472 | 1 | 01/13/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Clayton K Shum | 4412927 | 3 | 01/12/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joanna L Morgan | 7252494 | 1 | 01/11/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Erik Fuentes | 7431766 | 1 | 01/11/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Alan Bishop | 2879349 | 3 | 01/10/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen E Trask | 1837307 | 9 | 01/09/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Charles Olsson | 857922 | 6 | 01/09/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Clarence Leo Smith | 2939228 | 5 | 01/09/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles Glenn Hawthorne | 5452789 | 1 | 01/09/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |