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 |
|---|---|---|---|---|---|---|---|---|
| Edward James Cottrell | 2400339 | 1 | 11/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Debra Ann Garcia | 1229227 | 3 | 11/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Hayward Thompson | 1267560 | 4 | 11/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Hayward Thompson | 1267560 | 4 | 11/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dustin Rodger Allemann | 6635619 | 1 | 11/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jorge Alfredo Amy | 4072230 | 2 | 11/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Herbert Spencer Thornton | 1218939 | 3 | 11/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Emmett Tubridy Jr | 4509256 | 2 | 11/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle Bennett Velte | 7330351 | 1 | 11/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jamie Lynn Hueter | 5093939 | 3 | 11/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |