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FINRA Broker Disclosures

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.

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Displaying 21-30 out of 235,401 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Todd Michael Thomas2556617109/12/2024Employment Separation After Allegations$0.00$0.00See FINRA Report
Helen Thomasine Andrews4951340209/12/2024RegulatoryFinal$0.00$0.00See FINRA Report
Ruben Cedrick Williams7423949209/12/2024RegulatoryFinal$0.00$0.00See FINRA Report
Frank Michael Vecchio1537032609/12/2024RegulatoryFinal$0.00$0.00See FINRA Report
Robert Vahan Seropian1804735209/12/2024RegulatoryFinal$0.00$0.00See FINRA Report
David Dean Glienke5502866209/11/2024Customer DisputePending$200,000.00$0.00See FINRA Report
Jeffrey Thomas Higgins2871443909/11/2024Customer DisputePending$5,000.00$0.00See FINRA Report
Christopher Charles Mancini2774915109/11/2024RegulatoryFinal$0.00$0.00See FINRA Report
John A Perez-Cubero6674954309/11/2024RegulatoryFinal$0.00$0.00See FINRA Report
Tracy Marie Longstreet1768525209/11/2024RegulatoryFinal$0.00$0.00See FINRA Report

235,401 Results

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