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 |
|---|---|---|---|---|---|---|---|---|
| Brandon Michael Coene | 6289776 | 1 | 10/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig William French | 3048175 | 3 | 10/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lilia Mercedes James | 1275661 | 2 | 10/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dinesh O Saxena | 1970178 | 1 | 10/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Ellen Alexander | 1882453 | 2 | 10/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dirk Dustin Schalch | 6128936 | 1 | 10/28/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Patrick Salimi | 7116061 | 1 | 10/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Thompson | 1614627 | 5 | 10/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Thompson | 1614627 | 5 | 10/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Michael Thompson | 1614627 | 5 | 10/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |