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 |
|---|---|---|---|---|---|---|---|---|
| Linus A Ocasio | 5756520 | 2 | 05/08/2014 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| John Richard Lane | 4462351 | 2 | 05/08/2014 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Susan Parrella | 4843654 | 1 | 05/07/2014 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Gery Michael Williams | 1100172 | 7 | 05/06/2014 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Dayne Austin Pfaff | 5081698 | 4 | 04/30/2014 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Edgardo E Spilsbury | 6289666 | 1 | 04/22/2014 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| William Forrest Kramer | 4510861 | 1 | 03/28/2014 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| John Richard Lane | 4462351 | 2 | 03/10/2014 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Mia Carol Higens | 5113610 | 2 | 03/05/2014 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| John David Johnson | 1164572 | 3 | 02/21/2014 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |