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 |
|---|---|---|---|---|---|---|---|---|
| Kevin John Kane | 2269484 | 11 | 03/01/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Damian Mark Baird | 3097243 | 13 | 03/01/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Sean Michael Kane | 5778281 | 4 | 03/01/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Caroline Elizabeth Ehlers | 7410093 | 1 | 01/04/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Allyn Bronson | 5473746 | 1 | 01/04/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Larry Letterio | 1738325 | 1 | 12/27/2022 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Alex Shtaynberger | 2077298 | 2 | 12/14/2022 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Jason Michael Moore | 4838091 | 2 | 12/12/2022 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Michael James Thaler | 2557899 | 3 | 11/17/2022 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Hans Kraus Hernandez | 2109614 | 2 | 09/27/2022 | Investigation | $0.00 | $0.00 | See FINRA Report |