Our Staff has compiled our research into a database of FINRA Disclosures for Thomas Alan Braley. Search or filter the database to find more about this broker.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Thomas Alan Braley | 1264896 | 9 | 10/04/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Alan Braley | 1264896 | 9 | 07/13/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Alan Braley | 1264896 | 9 | 01/28/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Alan Braley | 1264896 | 9 | 12/19/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Alan Braley | 1264896 | 9 | 03/19/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Alan Braley | 1264896 | 9 | 05/11/2016 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| Thomas Alan Braley | 1264896 | 9 | 07/23/2014 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Thomas Alan Braley | 1264896 | 9 | 09/05/2012 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Thomas Alan Braley | 1264896 | 9 | 05/16/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |