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 |
|---|---|---|---|---|---|---|---|---|
| Scott Jeffrey Mason | 1023965 | 7 | 08/26/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Bryton S Stephens | 5957183 | 1 | 08/26/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Harold Stumbo | 1505092 | 5 | 08/26/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frederick Charles Leonard | 5861071 | 1 | 08/25/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Peter J Cox | 4501828 | 2 | 08/25/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Edward Williams Ricker | 6008239 | 2 | 08/23/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alexander Irwin | 7092047 | 1 | 08/23/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| William Pergola | 1132631 | 1 | 08/23/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy John Cleveland | 5391137 | 1 | 08/23/2024 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| John Patrick Sulit | 4212805 | 2 | 08/23/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |