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 J Kang | 3125983 | 1 | 11/03/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Phillip Noland Attebery | 4247195 | 2 | 07/02/2021 | Customer Dispute | Pending | $5,185,000.00 | $0.00 | See FINRA Report |
| Jason Robert Guehl | 4167362 | 1 | 06/21/2021 | Customer Dispute | Award / Judgment | $15,000,000.00 | $4,762,650.00 | See FINRA Report |
| Brett Thomas Broyles | 2447220 | 1 | 05/07/2021 | Customer Dispute | Settled | $111,957.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Barnthouse | 6871132 | 1 | 05/07/2021 | Customer Dispute | Settled | $111,957.00 | $0.00 | See FINRA Report |
| Aaron Scott Buczek | 2838281 | 2 | 03/31/2021 | Customer Dispute | Award / Judgment | $1,188,820.00 | $1,593,120.00 | See FINRA Report |
| Matthew Zolton | 5049639 | 1 | 11/11/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Peter Alex Mallouk | 4508063 | 1 | 09/18/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Robert William Tarr | 6504020 | 1 | 05/09/2018 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |
| Joseph Robert Cummings | 4726478 | 2 | 03/28/2018 | Customer Dispute | Denied | $22,000.00 | $0.00 | See FINRA Report |