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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer Adams | 4956523 | 1 | 02/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Anthony Martinez | 1688923 | 7 | 02/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alison Leann Fleming | 2816744 | 1 | 02/19/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Tamara G Sheline | 2307939 | 1 | 02/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Scott Spriggs | 2408013 | 1 | 02/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walter S Schram | 1728096 | 8 | 02/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leonard Descartes | 5139654 | 1 | 02/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Charles Schaeffer | 1483859 | 20 | 02/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Chan | 2732388 | 5 | 02/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Moore Huggett | 5962683 | 1 | 02/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |