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 |
|---|---|---|---|---|---|---|---|---|
| Larry James Wilbur | 1056346 | 1 | 12/10/2009 | Customer Dispute | Closed-No Action | $13,000.00 | $0.00 | See FINRA Report |
| Mark Anthony Vergenes | 2716153 | 1 | 10/12/2009 | Customer Dispute | Closed-No Action | $8,309.30 | $0.00 | See FINRA Report |
| Eric Robert Haupt | 810676 | 1 | 07/23/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Fred William Kobler | 4710047 | 1 | 07/05/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Presciliano Ortega | 1058215 | 3 | 06/29/2009 | Customer Dispute | Closed-No Action | $26,309.20 | $0.00 | See FINRA Report |
| John Damian Park Mullin | 4544945 | 2 | 06/08/2009 | Customer Dispute | Closed-No Action | $62,314.50 | $0.00 | See FINRA Report |
| Coty John Primeaux | 4434949 | 1 | 06/04/2009 | Customer Dispute | Closed-No Action | $12,638.80 | $0.00 | See FINRA Report |
| Sherman Phillip Ober | 1683236 | 4 | 03/02/2009 | Customer Dispute | Closed-No Action | $125,000.00 | $0.00 | See FINRA Report |
| Ronnie Wayne Rochelle | 2188368 | 3 | 02/11/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kirby Spencer McDonald | 1622995 | 2 | 12/20/2008 | Customer Dispute | Closed-No Action | $26,000.00 | $0.00 | See FINRA Report |