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 |
|---|---|---|---|---|---|---|---|---|
| Peter Marshall Hass | 1289700 | 1 | 10/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Dwayne Barbee | 5864862 | 2 | 10/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Ian Mulford | 2093043 | 1 | 10/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Katharine Taylor Cain | 7077635 | 1 | 10/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyrone David Robinson | 5208109 | 4 | 10/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Silvana Cuadrado | 5846271 | 1 | 10/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Stephen Buckman | 1984483 | 7 | 10/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Lee Smith | 2035376 | 1 | 10/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Caryn Elizabeth Kennedy | 4832506 | 1 | 10/23/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stuart Adam Cohen | 6136270 | 3 | 10/23/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |