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 |
|---|---|---|---|---|---|---|---|---|
| Craig Bennett Roth | 2162815 | 1 | 12/17/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Calvin Reed | 721781 | 3 | 12/17/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anne Marie Cooley | 2033820 | 1 | 12/17/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joyce Lillian Flanders | 1518093 | 2 | 12/16/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wesley David Huber | 5439187 | 1 | 12/16/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Janine Giordano | 4892568 | 2 | 12/16/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Patrick Stephens | 6131625 | 1 | 12/16/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George McElroy | 1807305 | 14 | 12/16/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Renee Dalal Dawson | 5010883 | 1 | 12/16/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel James Herzog | 2590586 | 1 | 12/16/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |