Our Staff has compiled our research into a database of FINRA Broker Disclosures for . 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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Joseph Clark | 4479035 | 1 | 01/09/2020 | Customer Dispute | Denied | $42,000.00 | $0.00 | See FINRA Report |
| Douglas Paul Stephenson | 3071193 | 1 | 05/28/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Wayne Patterson | 2131574 | 7 | 06/07/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Steven Frost | 2297896 | 1 | 05/10/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Scott Suraf | 5696729 | 1 | 12/11/2017 | Customer Dispute | Denied | $16,346.80 | $0.00 | See FINRA Report |
| Salvatore Alfred Mondello | 5996897 | 1 | 01/23/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew John Fox | 5101479 | 2 | 10/21/2016 | Customer Dispute | Denied | $13,114.70 | $0.00 | See FINRA Report |
| Darren Edward Stephens | 4663520 | 1 | 09/20/2016 | Customer Dispute | Denied | $8,400.00 | $0.00 | See FINRA Report |
| Alfred Ponder | 2315144 | 2 | 08/30/2016 | Customer Dispute | Denied | $32,641.00 | $0.00 | See FINRA Report |
| William Kyle Brownlee | 3254746 | 2 | 07/12/2016 | Customer Dispute | Denied | $9,245.00 | $0.00 | See FINRA Report |