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 |
|---|---|---|---|---|---|---|---|---|
| Keith Patrick Marshall | 6160543 | 1 | 07/12/2024 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Nancy Parrett | 5459016 | 1 | 07/10/2024 | Customer Dispute | Settled | $11,949.00 | $0.00 | See FINRA Report |
| Thomas Sanderson | 1705784 | 4 | 07/09/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick John Klenner | 5368461 | 1 | 07/02/2024 | Customer Dispute | Settled | $10,411.50 | $0.00 | See FINRA Report |
| Kieran Sean Varga | 7560210 | 1 | 07/01/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Jeffrey Carlton | 1132967 | 11 | 06/28/2024 | Customer Dispute | Settled | $1,033,820.00 | $0.00 | See FINRA Report |
| John Jay Kersey | 1480524 | 14 | 06/27/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Jay Kersey | 1480524 | 14 | 06/26/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gihan Anil Fernando | 4469669 | 62 | 06/25/2024 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Anthony John Pitta | 1958029 | 11 | 06/24/2024 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |