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 |
|---|---|---|---|---|---|---|---|---|
| Andrew William Payne | 5607123 | 4 | 03/20/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Michael David Gee | 6756698 | 1 | 03/15/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Wesley Andrew Pritchett | 2351025 | 2 | 03/13/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Ron Allen Purvines | 1712228 | 6 | 03/10/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Peter Farnum Culver | 4701690 | 1 | 03/03/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Jason Cortez | 7272804 | 1 | 03/01/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Rachel Jean Wakefield | 2159763 | 1 | 02/28/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Nasser Ahmad | 5526341 | 1 | 02/23/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Smith | 3128757 | 2 | 02/07/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Alain J Welty | 2067950 | 1 | 01/29/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |