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 |
|---|---|---|---|---|---|---|---|---|
| Ricky Alan Mantei | 1098981 | 42 | 08/01/2019 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Wilfredo Felix | 2693672 | 6 | 07/01/2019 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Nathan Paul Patzwaldt | 7009319 | 2 | 02/28/2019 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Devin Lamarr Wicker | 4228250 | 5 | 08/08/2018 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Michael A Barber | 2814054 | 1 | 06/12/2018 | Criminal | On Appeal | $0.00 | $0.00 | See FINRA Report |
| John Sherman Jumper | 2809649 | 9 | 04/12/2018 | Criminal | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Mitchell Reed Johnson | 1488814 | 9 | 01/11/2018 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Bruce Martin Zipper | 1019731 | 15 | 11/08/2017 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Paul Eric Flesche | 3277904 | 1 | 10/05/2017 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |
| Eric Steven Smith | 2894648 | 3 | 08/04/2017 | Regulatory | On Appeal | $0.00 | $0.00 | See FINRA Report |