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 |
|---|---|---|---|---|---|---|---|---|
| Michael Chun Chan | 5590161 | 10 | 12/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Allan Lucas | 4667387 | 1 | 12/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Lorenzo Rogers | 1959595 | 3 | 12/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Rainwater | 7210755 | 4 | 12/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John E Banko | 4629232 | 2 | 12/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John E Banko | 4629232 | 2 | 12/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Trent Richard Harris | 6674225 | 1 | 12/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Russell Phillips | 5575319 | 1 | 12/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Abed-Rabboh | 5297105 | 5 | 12/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Abed-Rabboh | 5297105 | 5 | 12/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |