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 |
|---|---|---|---|---|---|---|---|---|
| Suzanne Marie Capellini | 1357703 | 1 | 06/01/2022 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Peter James Fetherston | 2108610 | 5 | 05/03/2022 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Christopher Peter Tranchina | 5657849 | 4 | 12/22/2021 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| David Christopher Murray | 6514993 | 1 | 09/30/2021 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Charles Scott Burford | 1658201 | 2 | 09/22/2021 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Laurence Geoffrey Allen | 1063970 | 7 | 05/27/2021 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Raymond Adam Erker | 2166800 | 3 | 09/03/2020 | Criminal | 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 |