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 |
|---|---|---|---|---|---|---|---|---|
| Mark Ramsay Dennie | 2261611 | 1 | 01/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kazumi S Santiago | 5443566 | 1 | 01/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Augustus Fiacco | 1355177 | 2 | 01/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Jeffrey Rowan | 1410799 | 3 | 01/15/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Nicholas Charles Zelie | 6417742 | 7 | 01/14/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Nicholas Charles Zelie | 6417742 | 7 | 01/14/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Nicholas Charles Zelie | 6417742 | 7 | 01/14/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Nicholas Charles Zelie | 6417742 | 7 | 01/14/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Thomas Zebulon Scott | 6045359 | 4 | 01/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith A Britton | 6468281 | 1 | 01/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |