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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Kirkland | 5838118 | 5 | 03/25/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Keith Patrick Gill | 6054636 | 2 | 01/29/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Mayur T Dalal | 1853077 | 3 | 01/12/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Timothy Alan Berthel | 1424900 | 4 | 12/16/2020 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Michael Francis Shillin | 5927156 | 51 | 11/20/2020 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Scott Robert Rahn | 1959522 | 3 | 11/19/2020 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Todd Regan Elliott | 5563784 | 5 | 10/22/2020 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Richard Keith Robertson | 2233786 | 3 | 10/20/2020 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Andrew Stanley Lombara | 2294826 | 5 | 09/29/2020 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Andrew Stanley Lombara | 2294826 | 5 | 09/29/2020 | Investigation | $0.00 | $0.00 | See FINRA Report |