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 |
|---|---|---|---|---|---|---|---|---|
| Clifford Alan Schwartz | 2173244 | 4 | 11/12/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angela Jean Foster | 2873791 | 1 | 11/12/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Schneider | 7429556 | 4 | 11/12/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Jonas Terrence Edwar Keenan | 7121758 | 1 | 11/12/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zaven Andrew Yarumian | 1124759 | 4 | 11/12/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brook Mason Stevens | 6016102 | 3 | 11/12/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emily Luanne Shealy Ergle | 5463960 | 1 | 11/12/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert David Hughes | 1018044 | 3 | 11/12/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Ulises Perez | 2411198 | 3 | 11/11/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Stuart Adam Cohen | 6136270 | 3 | 11/11/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |