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 |
|---|---|---|---|---|---|---|---|---|
| Alexander Irwin | 7092047 | 1 | 08/23/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Timothy John Cleveland | 5391137 | 1 | 08/23/2024 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| John Patrick Sulit | 4212805 | 2 | 08/23/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Thomas Higgins | 2871443 | 9 | 08/23/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Stephen Richard Smith | 2632131 | 1 | 08/22/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Andrew William Miles | 5986774 | 18 | 08/22/2024 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Thaddaeus Daniel Allen | 5644772 | 2 | 08/22/2024 | Customer Dispute | Pending | $104,000.00 | $0.00 | See FINRA Report |
| Philippus Theunis van Staden | 4489166 | 15 | 08/22/2024 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Donald L Hansen | 3207894 | 3 | 08/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John C Riley | 1096019 | 4 | 08/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |