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 |
|---|---|---|---|---|---|---|---|---|
| Triet Nguyen | 6910956 | 1 | 10/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kelly Stolte Miller | 1336841 | 4 | 10/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Jay Honigstock | 1470980 | 7 | 10/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Moreen Latchman | 4782217 | 2 | 10/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Douglas Drews | 4386320 | 2 | 10/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Frederick Risch | 4565820 | 4 | 10/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Olson | 5447460 | 6 | 10/18/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michele Butera Rivera | 7119401 | 1 | 10/18/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Ryan Austin | 4852880 | 2 | 10/17/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wilson Frederick Rosebraugh | 3183055 | 1 | 10/17/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |