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 |
|---|---|---|---|---|---|---|---|---|
| Ricardo Armando Diaz-Lane | 1824733 | 1 | 01/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Lamar Roth | 5499530 | 2 | 01/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Lamar Roth | 5499530 | 2 | 01/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Katherine Heather Horner | 5988411 | 1 | 01/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roxanne Marie Jones | 2433541 | 9 | 01/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roxanne Marie Jones | 2433541 | 9 | 01/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roxanne Marie Jones | 2433541 | 9 | 01/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roxanne Marie Jones | 2433541 | 9 | 01/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Roxanne Marie Jones | 2433541 | 9 | 01/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Asem Husein Hasan | 7230816 | 2 | 01/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |