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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 10 out of 341,610 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Nathaniel Royce Clay45255411102/02/2023RegulatoryFinal$0.00$0.00See FINRA Report
Archie Abel Blood1861277102/01/2023RegulatoryFinal$0.00$0.00See FINRA Report
Robert Allan Stroud1207226502/01/2023RegulatoryFinal$0.00$0.00See FINRA Report
Robert Scott Smith14123331202/01/2023Customer DisputePending$0.00$0.00See FINRA Report
Roger Lee Arnold5284151502/01/2023RegulatoryPending$0.00$0.00See FINRA Report
Matthew John Boehm4418029101/31/2023Customer DisputePending$75,000.00$0.00See FINRA Report
Robert Jeffrey Boschke2813139501/31/2023RegulatoryFinal$0.00$0.00See FINRA Report
David John Zauner2027403201/31/2023RegulatoryFinal$0.00$0.00See FINRA Report
Steven G Brettler4367351201/31/2023RegulatoryFinal$0.00$0.00See FINRA Report
Kenneth John Byrne1191939301/31/2023RegulatoryFinal$0.00$0.00See FINRA Report

341,610 Results