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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Matthew Bassett | 4261974 | 1 | 07/30/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Mark Wexler | 7055123 | 3 | 07/16/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Kyle L Nixon | 7785655 | 1 | 07/15/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Mindy M Day | 3148994 | 1 | 07/14/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Richard Earl Moore | 6904553 | 1 | 07/14/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Stephen Gilbert Rye | 2127156 | 1 | 07/08/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Timothy Harold Holt | 2057790 | 1 | 06/28/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Kevin Pierron | 7546475 | 1 | 06/23/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Roger Dewayne Holland | 4102802 | 1 | 06/20/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Neel Burman | 7459378 | 1 | 05/29/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |