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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Michael Schrantz | 2805314 | 1 | 10/24/2018 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Shawn Evan King | 5705611 | 1 | 10/12/2018 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Richard Gale Pierce | 1409936 | 1 | 10/11/2018 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Paul Thomas Gabriel | 1286485 | 3 | 09/27/2018 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Chris Raymond Kubiak | 1527367 | 5 | 09/25/2018 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Craig Allen Coster | 6323884 | 1 | 09/07/2018 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Zachary Daniel Abraham | 6901018 | 1 | 08/30/2018 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Dennis E Stephen | 5226188 | 2 | 07/24/2018 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Thomas E Platt | 3177706 | 4 | 07/21/2018 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Marc L Nolan | 5594838 | 3 | 07/17/2018 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |