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 |
|---|---|---|---|---|---|---|---|---|
| Ramon Valdez | 2592276 | 14 | 10/06/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Thomas Kent | 4183261 | 1 | 10/06/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Roy Todd | 2138027 | 4 | 10/06/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alfonso Montoya | 3131416 | 9 | 10/03/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Troy Dale Ragan | 4952127 | 2 | 10/03/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aon Douglas Miller | 3083225 | 5 | 10/03/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Abigail Spahich | 5979135 | 1 | 10/03/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Jose Garcia | 5909532 | 5 | 10/03/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George Chui | 5534010 | 2 | 10/03/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Ginnette Owsley | 4886775 | 1 | 10/03/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |