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 |
|---|---|---|---|---|---|---|---|---|
| Jorge K Finkelberg | 6050156 | 1 | 10/01/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Wade Mitchell Sickler | 2304029 | 2 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rachel Anne Pierini | 6555997 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel P D'Arrigo | 1034478 | 4 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karen B Thompson | 1631349 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Arthur Albert Mangiro | 1744967 | 9 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lora Jean Nickel | 4412872 | 7 | 09/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shiloh Ann Henn | 5803825 | 2 | 09/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Floyd | 4743167 | 1 | 09/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric John King | 6402812 | 2 | 09/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |