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 |
|---|---|---|---|---|---|---|---|---|
| Gerardo Frias | 6680270 | 1 | 01/14/2021 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Wilfredo Felix | 2693672 | 6 | 12/03/2020 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Matthew R Logan | 5366984 | 2 | 10/07/2020 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| David Douglas Swanson | 1464923 | 8 | 10/06/2020 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Mark Steven Barill | 1047016 | 7 | 09/02/2020 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| William Roger Washburn | 2599590 | 1 | 07/19/2020 | Criminal | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Christopher Peter Tranchina | 5657849 | 4 | 06/29/2020 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Ronald Frank Stevenson | 6716692 | 4 | 06/29/2020 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Daniel Paul Motherway | 2680522 | 2 | 02/07/2020 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Thomas John Lykos | 2017220 | 3 | 09/17/2019 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |