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FINRA Broker Disclosures

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.

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Displaying 19,011-19,020 out of 19,577 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Valincenia Griggs Shannon1540284810/17/1997Judgment / Lien$0.00$0.00See FINRA Report
Mark Daniel Soto1349860410/16/1997Judgment / Lien$0.00$0.00See FINRA Report
Michael Anthony Stouffer1571755410/16/1997Judgment / Lien$0.00$0.00See FINRA Report
Susan Darcel Hager4655821810/01/1997Judgment / Lien$0.00$0.00See FINRA Report
Owen Carl Maywah1615058209/27/1997Judgment / Lien$0.00$0.00See FINRA Report
David Pham2447712509/25/1997Judgment / Lien$0.00$0.00See FINRA Report
Derek Morris16169533909/24/1997Judgment / Lien$0.00$0.00See FINRA Report
Robert Randal Seal2023919308/28/1997Judgment / Lien$0.00$0.00See FINRA Report
Anuradha Sarin3131023308/14/1997Judgment / Lien$0.00$0.00See FINRA Report
Jeffrey Charles Borland10049971108/12/1997Judgment / Lien$0.00$0.00See FINRA Report

19,577 Results

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