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 |
|---|---|---|---|---|---|---|---|---|
| William Franklin Richardson | 721293 | 7 | 06/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Keith Wayne Patterson | 2131574 | 7 | 06/09/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frank J Calise | 3022262 | 2 | 01/27/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Patrick Robert George | 4334319 | 1 | 05/15/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Doreen Antoinette Dixon | 2850766 | 1 | 02/25/2019 | Customer Dispute | Settled | $1,746.00 | $0.00 | See FINRA Report |
| Richard Charles Thomas | 1455306 | 2 | 02/13/2019 | Customer Dispute | Settled | $6,500.00 | $0.00 | See FINRA Report |
| Frederick William Jackson | 2545657 | 1 | 11/26/2018 | Customer Dispute | Settled | $34,661.90 | $0.00 | See FINRA Report |
| William Franklin Richardson | 721293 | 7 | 11/05/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Christopher L Sassone | 4386593 | 1 | 10/02/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Kathleen Carmen Kovar | 4666755 | 1 | 08/07/2017 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |