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 |
|---|---|---|---|---|---|---|---|---|
| Courtney Danielle Stroope | 4899731 | 1 | 12/22/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Randy James Morse | 2378296 | 2 | 07/25/2005 | Customer Dispute | Denied | $212,838.00 | $0.00 | See FINRA Report |
| Lawrence Wilton Warren | 1694288 | 6 | 07/28/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Michael Hatton | 1844529 | 1 | 03/27/2004 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Lawrence Wilton Warren | 1694288 | 6 | 10/20/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lawrence Wilton Warren | 1694288 | 6 | 02/25/2003 | Customer Dispute | Award / Judgment | $203,846.00 | $30,300.00 | See FINRA Report |
| Joseph Robert Cummings | 4726478 | 2 | 08/26/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Randy James Morse | 2378296 | 2 | 05/01/2000 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Earnest Levell Harris | 5893204 | 1 | 09/17/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clayton Alexander Baker | 4845961 | 2 | 01/22/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |