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 |
|---|---|---|---|---|---|---|---|---|
| Darren Kenneth Kearns | 1808898 | 1 | 07/23/2018 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| George Lewis Taylor | 1104198 | 3 | 07/18/2018 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| John Frank Denes | 1831276 | 11 | 07/11/2018 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Robert John Riccardi | 1356543 | 2 | 07/03/2018 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Lawrence Kevin Adkins | 5210533 | 2 | 07/02/2018 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Geoffrey Kevin Metzler | 1355310 | 4 | 07/02/2018 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Mel Robert Hertz | 707875 | 5 | 05/29/2018 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| William Richard Kaczmarek | 1434947 | 4 | 05/23/2018 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Amin Majidi | 1799750 | 5 | 05/09/2018 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Saul Stephen Feiss | 1021722 | 10 | 04/03/2018 | Investigation | $0.00 | $0.00 | See FINRA Report |