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 |
|---|---|---|---|---|---|---|---|---|
| Edward Luck Rowell | 1959878 | 3 | 05/08/1992 | Customer Dispute | Award / Judgment | $0.00 | $11,250.00 | See FINRA Report |
| Michael David Mathias | 1349406 | 21 | 04/14/1992 | Customer Dispute | Award / Judgment | $547,600.00 | $153,000.00 | See FINRA Report |
| Stanley Wong | 809384 | 23 | 03/27/1992 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Robert Eric Magee | 1193738 | 33 | 03/10/1992 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Jeffrey Brian Forehand | 1618003 | 7 | 11/01/1991 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Thomas James Ealy | 863042 | 5 | 06/01/1991 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Lesley Huberman Sommers | 1043841 | 3 | 05/23/1991 | Customer Dispute | Award / Judgment | $73,805.00 | $17,600.00 | See FINRA Report |
| John Jacob Avey | 1131891 | 3 | 05/13/1991 | Customer Dispute | Settled | $20,730.00 | $0.00 | See FINRA Report |
| Charles Smyth Barker | 1824233 | 2 | 10/12/1990 | Customer Dispute | Award / Judgment | $7,020.50 | $0.00 | See FINRA Report |
| Mark Ivan Bass | 14422 | 3 | 05/24/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |