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 |
|---|---|---|---|---|---|---|---|---|
| J. Brian Glaze | 5373140 | 2 | 04/05/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Larry Milton Ware | 3053841 | 3 | 04/05/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Walter Christian Etterlee | 6741012 | 1 | 04/03/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Jon Lukz | 5772308 | 1 | 04/03/2023 | Customer Dispute | Denied | $7,300.00 | $0.00 | See FINRA Report |
| David Brian Test | 2341570 | 5 | 01/19/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Paul Matoney | 4441940 | 2 | 12/30/2022 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Joseph Paul Matoney | 4441940 | 2 | 12/29/2022 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Saul Isaac Rothberger | 2914820 | 1 | 11/30/2022 | Customer Dispute | Pending | $4,000,000.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Freeman | 4585007 | 1 | 10/31/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Raymond McCormack | 6543090 | 1 | 08/19/2022 | Customer Dispute | Denied | $43,745.00 | $0.00 | See FINRA Report |