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 |
|---|---|---|---|---|---|---|---|---|
| Jorge M Oliveira | 2558497 | 1 | 07/09/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cameron Borowiec | 6723928 | 4 | 07/08/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clifford Dwayne Okuda | 1994173 | 5 | 07/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Bruce Daher | 4731735 | 1 | 07/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Frederick Hemmer | 2091258 | 1 | 07/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Roger Thomas Spann | 2211632 | 12 | 07/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Malcolm Charles Beard | 5573195 | 2 | 07/02/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Anthony Garcia | 2089104 | 1 | 07/02/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Michael Monahan | 1192627 | 19 | 07/02/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Liguori | 2025717 | 2 | 07/01/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |