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 |
---|---|---|---|---|---|---|---|---|
Todd Michael Thomas | 2556617 | 1 | 09/12/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
Helen Thomasine Andrews | 4951340 | 2 | 09/12/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Ruben Cedrick Williams | 7423949 | 2 | 09/12/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Frank Michael Vecchio | 1537032 | 6 | 09/12/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Robert Vahan Seropian | 1804735 | 2 | 09/12/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
David Dean Glienke | 5502866 | 2 | 09/11/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
Jeffrey Thomas Higgins | 2871443 | 9 | 09/11/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
Christopher Charles Mancini | 2774915 | 1 | 09/11/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
John A Perez-Cubero | 6674954 | 3 | 09/11/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Tracy Marie Longstreet | 1768525 | 2 | 09/11/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |