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 |
|---|---|---|---|---|---|---|---|---|
| Elizabeth Dennae Castle | 6838819 | 4 | 02/02/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Troy D Stephens | 2886947 | 2 | 01/28/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Earnest Bernard Slade | 1992273 | 1 | 01/28/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Victor A Rigoni | 4272056 | 18 | 01/25/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derek Morris | 1616953 | 39 | 01/21/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Stuart Mintz | 1281070 | 3 | 01/19/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Andrew Lee | 2768039 | 7 | 01/15/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cheryl Renee Jemison | 2119972 | 8 | 01/15/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Broc Anthony Taylor | 5491443 | 1 | 01/14/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Mitchell | 1292487 | 8 | 12/31/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |