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 |
|---|---|---|---|---|---|---|---|---|
| Otto Emil Hueppi | 7379635 | 1 | 12/19/2012 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Sean Luis Caez | 4360324 | 2 | 05/14/2012 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Heath Michael Kennel | 4193745 | 2 | 05/09/2012 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Marc Andrew Simmons | 2504488 | 1 | 03/25/2012 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| John Brady Guyette | 1711681 | 9 | 02/23/2012 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Shanita Lynette Johnson | 4120383 | 1 | 12/16/2011 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Cynthia Isabelle Kennedy | 5098055 | 1 | 11/04/2011 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Evon Winton Friend | 2026785 | 2 | 10/01/2011 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Scott Ryan Tischler | 3248953 | 7 | 01/03/2011 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Walter Lee Wright | 5930349 | 1 | 12/21/2010 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |