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 |
|---|---|---|---|---|---|---|---|---|
| Marlon Frederick Travis | 4134003 | 2 | 08/30/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Amy Christine Pryor Horak | 2387318 | 1 | 08/27/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Bum Soo Kim | 2134264 | 10 | 08/20/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Eugene Bingham | 1399418 | 2 | 08/16/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael V Ronan | 5268228 | 4 | 08/13/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Theodore Hovey | 1149166 | 2 | 08/09/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Theodore Hovey | 1149166 | 2 | 08/09/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Craig McKean | 1197246 | 12 | 08/06/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Neil Nirelli | 1935718 | 4 | 08/03/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Natale Bruno Rocco | 1330028 | 4 | 08/03/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |