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 |
---|---|---|---|---|---|---|---|---|
Valincenia Griggs Shannon | 1540284 | 8 | 10/17/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Mark Daniel Soto | 1349860 | 4 | 10/16/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Michael Anthony Stouffer | 1571755 | 4 | 10/16/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Susan Darcel Hager | 4655821 | 8 | 10/01/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Owen Carl Maywah | 1615058 | 2 | 09/27/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
David Pham | 2447712 | 5 | 09/25/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Derek Morris | 1616953 | 39 | 09/24/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Robert Randal Seal | 2023919 | 3 | 08/28/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Anuradha Sarin | 3131023 | 3 | 08/14/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Jeffrey Charles Borland | 1004997 | 11 | 08/12/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |