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 |
|---|---|---|---|---|---|---|---|---|
| William James Potter | 1281826 | 2 | 03/07/2016 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| David Christopher Lupo | 1246232 | 7 | 03/04/2016 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Ash Narayan | 2630251 | 8 | 02/19/2016 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Tate Parker Felts | 6588978 | 3 | 12/31/2015 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Mark Gerard Reninger | 2216966 | 4 | 11/12/2015 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| James Gerard Russell | 4331226 | 1 | 11/03/2015 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Dale Eugene Payne | 1526747 | 8 | 11/01/2015 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Terry Wayne Chilton | 1557556 | 3 | 10/06/2015 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Stephen Andrew Zacour | 5863512 | 5 | 09/25/2015 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Jean Alison Leonard | 2695683 | 5 | 06/15/2015 | Investigation | $0.00 | $0.00 | See FINRA Report |