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 |
|---|---|---|---|---|---|---|---|---|
| John M Harper | 6704061 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Neil Roberts | 5679551 | 2 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rodrick Kevin Sullivan | 6414948 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hyo Jin Lim | 6645984 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Robert Curran | 4294228 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Scott Portlock | 5579688 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matt Francis Neill | 5321661 | 2 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matt Francis Neill | 5321661 | 2 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Joseph Shultz | 5956515 | 2 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edson Arroyo | 6431945 | 3 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |