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 |
|---|---|---|---|---|---|---|---|---|
| Robert Ronald Liggero | 4623608 | 2 | 08/15/2014 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Shakeel Ahmad Tanveer | 2339705 | 4 | 03/04/2014 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Michael A Rodriguez | 1989658 | 1 | 02/11/2014 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Jonathan G Emerson | 4590720 | 1 | 01/23/2014 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Marshall Dean Gunn | 1210021 | 4 | 01/15/2014 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Bryan Alexander Perry | 1232078 | 8 | 06/18/2013 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| James Bradley Haugh | 2802401 | 1 | 04/18/2013 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Charles Eugene Shomo | 1362576 | 1 | 11/07/2012 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Scott Robert Morris | 2557888 | 4 | 09/05/2012 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Holly Blades Hasty | 4104824 | 1 | 04/03/2012 | Investigation | $0.00 | $0.00 | See FINRA Report |