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 |
|---|---|---|---|---|---|---|---|---|
| Richard Leonard Zwiener | 4824661 | 1 | 02/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Daryl Lowery | 1678724 | 2 | 02/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Buddy Dean Mason | 1721391 | 5 | 02/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darin Hugh Davis | 7210311 | 1 | 02/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Archana Gupta | 4866634 | 1 | 02/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gianne Carlo Apurado | 5278445 | 10 | 02/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lewis Bjorn Bordoley | 5437098 | 2 | 02/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Ashton Bishop | 2786582 | 2 | 02/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Joseph Cunningham | 1046890 | 2 | 02/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wendy Sue Poppe | 1808807 | 2 | 02/14/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |