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 |
|---|---|---|---|---|---|---|---|---|
| John Logan Cummings | 2882559 | 1 | 07/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Carmichael McClendon | 1134177 | 2 | 04/16/2003 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| James Carmichael McClendon | 1134177 | 2 | 08/20/2002 | Customer Dispute | Withdrawn | $67,000.00 | $0.00 | See FINRA Report |
| Neil Yukio Nakagawa | 2565291 | 1 | 11/04/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |