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 |
|---|---|---|---|---|---|---|---|---|
| Jose L Cordero | 5626168 | 1 | 03/29/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Dick P Wollman | 4593793 | 2 | 03/22/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| James Steven Larsen | 4820004 | 1 | 02/25/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Loschenko | 3104776 | 5 | 02/23/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Michael James Mann | 5467820 | 2 | 02/16/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Jeremy P Anderson | 5859363 | 1 | 01/17/2017 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| George Robert McKown | 4133109 | 7 | 12/22/2016 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Deborah Dickson Kelley | 1179082 | 4 | 12/21/2016 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| David Andrew Corning | 6301216 | 3 | 12/16/2016 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| John Samuel Sawyer | 4646365 | 1 | 12/15/2016 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |