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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Casey Kelly | 2201949 | 1 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wallace Brian MacDermott | 315695 | 6 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Derek Kingshill | 1371915 | 1 | 11/30/-0001 | Customer Dispute | Settled | $23,570.00 | $0.00 | See FINRA Report |
| Peter G Hart | 238684 | 2 | 11/30/-0001 | Customer Dispute | Settled | $24,247.00 | $0.00 | See FINRA Report |
| Mark Joseph Hughes | 1752908 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Bennett Johnston | 1161633 | 4 | 11/30/-0001 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| David Peter Halsch | 728633 | 1 | 11/30/-0001 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Robert John La Sala | 710468 | 4 | 11/30/-0001 | Customer Dispute | Settled | $31,622.40 | $0.00 | See FINRA Report |
| William Roger Iselin | 1449364 | 3 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joel David Matthews | 2627133 | 1 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |