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 |
|---|---|---|---|---|---|---|---|---|
| Robert Morgan Humphrey | 7083783 | 2 | 01/10/2020 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Jan Ma | 5908279 | 1 | 01/04/2020 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Michael Powell | 6914058 | 2 | 12/20/2019 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Robert Morgan Humphrey | 7083783 | 2 | 12/20/2019 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| David John Funes | 5467419 | 4 | 11/26/2019 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Thomas P Quinn | 5163116 | 2 | 11/15/2019 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Jack E Lee | 5282131 | 1 | 11/13/2019 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Robert Mark Opanel | 4484473 | 2 | 10/17/2019 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Zachary Stephen Grabowski | 5800514 | 1 | 08/23/2019 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| David Alvin Babler | 9524 | 1 | 08/20/2019 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |