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 |
|---|---|---|---|---|---|---|---|---|
| Sean P Wheelahan | 6591077 | 3 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Walton McGehee | 5562429 | 4 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Charles Buhmann | 4978182 | 1 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Maloof | 5110195 | 2 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Lawrence Graves | 4351078 | 2 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Richard Barnes | 7716690 | 1 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen Marie Steele | 1901481 | 3 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan L Stone | 6556264 | 1 | 02/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Swedrock | 6425544 | 1 | 02/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marshall Stephen Knight | 1597002 | 5 | 02/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |