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 |
|---|---|---|---|---|---|---|---|---|
| Rhett Logan Wood | 6000403 | 1 | 08/16/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Dharmesh Vora | 2629494 | 17 | 08/09/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Eric Wayne Kendrick | 2359712 | 5 | 07/06/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Jose Antonio Navarro | 2250454 | 2 | 05/25/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| David Francis Lagrange | 4200976 | 1 | 05/11/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Donald Ralph Hancock | 828811 | 2 | 05/11/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Robert Morgan Vance | 1887560 | 18 | 05/11/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| David Sztrom | 5978581 | 4 | 05/02/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Michael Sztrom | 3042821 | 7 | 05/02/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Darryl Matthew Cohen | 2786613 | 19 | 03/23/2023 | Investigation | $0.00 | $0.00 | See FINRA Report |