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 |
|---|---|---|---|---|---|---|---|---|
| Cindy Gilliland Mashburn | 6403761 | 1 | 09/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond William Peterson | 4982663 | 2 | 09/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey James Riegle | 6461243 | 3 | 09/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Bard Schaack | 3003657 | 1 | 09/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marilyn Evans Johnson | 4027251 | 4 | 09/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Haryanto Prawirana Sastro | 3091945 | 1 | 09/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Hayward Thompson | 1267560 | 4 | 09/29/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Anthony Faggio | 1566535 | 1 | 09/28/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric John King | 6402812 | 2 | 09/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey David Poitras | 3237267 | 1 | 09/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |