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 |
|---|---|---|---|---|---|---|---|---|
| Charles Phillip Rosen | 4589137 | 3 | 09/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Phillip Rosen | 4589137 | 3 | 09/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Phillip Rosen | 4589137 | 3 | 09/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Louis Crews | 1845624 | 1 | 09/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joey Darrell Quinney | 5726200 | 2 | 09/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Terrance McGee | 6413733 | 4 | 09/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Hunter Smith | 4505078 | 4 | 09/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sabina Karoline Gartler | 6027661 | 3 | 09/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Edward Hutek | 1843942 | 5 | 09/25/2014 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Hanh Tuyet Luu | 2270816 | 1 | 09/25/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |