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 |
|---|---|---|---|---|---|---|---|---|
| Roy Kevin Williams | 843607 | 3 | 09/05/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ali Abbas Hassan Taj | 3146053 | 2 | 09/05/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Philip Arnella | 4886531 | 2 | 09/05/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Glenn Edwin Bridwell | 1783191 | 2 | 09/04/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Frank Paesano | 1557229 | 27 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Nuttall Zwaan | 4857906 | 3 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Philip Turcotte | 1180997 | 1 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Frank Deo | 3145183 | 1 | 09/03/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Spencer Reed | 7597637 | 2 | 08/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Armando Villalobos | 7848537 | 1 | 08/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |