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 |
|---|---|---|---|---|---|---|---|---|
| Michael David Mathias | 1349406 | 21 | 02/20/2018 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Stephen Christopher Pfaff | 2724225 | 1 | 02/20/2018 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Glen Roessner | 5568932 | 2 | 02/14/2018 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Eric Todd Stuckey | 2445666 | 10 | 01/22/2018 | Customer Dispute | Settled | $79,000.00 | $0.00 | See FINRA Report |
| Adrienne Elizabeth Rowles | 3073899 | 1 | 01/04/2018 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |
| Andrea Margo Hauptman | 2306909 | 1 | 01/03/2018 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Michael Adrian Sharp | 6285241 | 1 | 01/03/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Tatum Koy Schuler | 4572802 | 1 | 12/14/2017 | Customer Dispute | Denied | $46,000.00 | $0.00 | See FINRA Report |
| Betty Won Lee | 2865630 | 1 | 12/07/2017 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Steven H Degraff | 4649473 | 2 | 12/07/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |