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 |
|---|---|---|---|---|---|---|---|---|
| Michael James Conte | 2646071 | 11 | 08/17/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Thomas Ward Stratton | 1646899 | 5 | 08/03/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Joseph Michael Riccio | 1400362 | 1 | 07/29/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Robin Lee Taliaferro | 442144 | 13 | 07/09/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Marguerite Cassandra Toroian | 3051646 | 3 | 07/02/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Paul Francis Gallivan | 5793918 | 5 | 06/03/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Mark Bedros Beloyan | 1392748 | 6 | 05/13/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Harry Bradley Bertrand | 2046252 | 3 | 05/12/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Elvis Beslagic | 5565302 | 3 | 05/07/2021 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Randall Hagan Fields | 1665946 | 6 | 04/12/2021 | Investigation | $0.00 | $0.00 | See FINRA Report |