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 |
|---|---|---|---|---|---|---|---|---|
| Andrew A Arno | 2834759 | 3 | 04/30/2019 | Customer Dispute | Settled | $359,062.00 | $0.00 | See FINRA Report |
| James Joseph Gibson | 1420473 | 1 | 04/30/2019 | Customer Dispute | Settled | $359,062.00 | $0.00 | See FINRA Report |
| Keith Frederick France | 3273902 | 3 | 04/29/2019 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Phillip Gayle Bracey | 1435778 | 1 | 03/20/2019 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| James Whitney Story | 2656257 | 5 | 03/15/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Bahary | 1294796 | 1 | 03/08/2019 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Lisa Reich | 2127529 | 1 | 03/05/2019 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Robert Fleming | 5417701 | 1 | 02/21/2019 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| William Charles Schumann | 1604894 | 5 | 02/08/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Brian Michael Youngs | 2479488 | 3 | 01/16/2019 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |