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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Edward Johnson | 5701828 | 3 | 12/05/2019 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Christopher Jeremy Henneforth | 3157633 | 3 | 11/11/2019 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Stanley Bernard Secor | 1982414 | 5 | 10/31/2019 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Andre Pierre Davis | 1417097 | 21 | 10/14/2019 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Gregory Michael Duckwitz | 6933484 | 3 | 10/01/2019 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Daniel Joseph Rossi | 1190774 | 4 | 09/09/2019 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Clifford J Reynolds | 6884105 | 2 | 09/09/2019 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Steven Arthur Svetlick | 2589535 | 5 | 06/29/2019 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Charles Edward White | 1345688 | 9 | 06/20/2019 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Richard Herbert Westerman | 826562 | 12 | 06/11/2019 | Investigation | $0.00 | $0.00 | See FINRA Report |