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 |
|---|---|---|---|---|---|---|---|---|
| James Christian Fischer | 1338889 | 1 | 03/06/2017 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| J Randall Gladden | 1789356 | 11 | 02/22/2017 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Thomas Bruno | 854559 | 6 | 01/12/2017 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Joseph Nicholas Tommasino | 1204082 | 2 | 12/15/2016 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Chris H Pauli | 707660 | 7 | 12/01/2016 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Braulio Jose Lopez | 4878718 | 2 | 11/02/2016 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| James Edward Knee | 1852920 | 11 | 08/15/2016 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Kathleen Marie Steele | 1901481 | 3 | 08/11/2016 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Tamara Kristen Jamison | 5842828 | 1 | 08/03/2016 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Jason Kyle Feinglas | 4297835 | 3 | 08/02/2016 | Investigation | $0.00 | $0.00 | See FINRA Report |