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 |
|---|---|---|---|---|---|---|---|---|
| David Frederick Risch | 4565820 | 4 | 12/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Frederick Risch | 4565820 | 4 | 12/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julie Lang Kirkpatrick | 4469526 | 3 | 12/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Robert Voor | 1950685 | 5 | 12/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Priscilla B Vazquez | 1963560 | 3 | 12/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Priscilla B Vazquez | 1963560 | 3 | 12/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James R Elsass | 1013425 | 3 | 12/19/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joyce Lillian Flanders | 1518093 | 2 | 12/19/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tanya Parker | 5197486 | 1 | 12/19/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jacqueline Blair Lechler | 6209542 | 1 | 12/19/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |