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 |
|---|---|---|---|---|---|---|---|---|
| Eduardo Perez | 2995930 | 2 | 12/08/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Michael Spencer | 1883056 | 1 | 12/08/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Nwabueze Chukwu | 3082859 | 1 | 12/08/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gail Winifred Nichols | 6866661 | 1 | 12/08/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Braden van Pelt | 6475491 | 3 | 12/07/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Christian Bruschi | 5531065 | 1 | 12/07/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Kent Spencer | 6504703 | 1 | 12/05/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charlotte Ann Chase | 4975427 | 2 | 12/05/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John P Murphy | 856789 | 5 | 12/05/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael William Miller | 6436561 | 1 | 12/05/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |