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 |
|---|---|---|---|---|---|---|---|---|
| Colin Christy Kelty | 5859007 | 4 | 07/07/2014 | Customer Dispute | Denied | $10,458.90 | $0.00 | See FINRA Report |
| Jeffrey Allen Prentice | 2333374 | 1 | 06/24/2014 | Customer Dispute | Denied | $21,837.30 | $0.00 | See FINRA Report |
| Joel Davis Kamphuis | 1730775 | 5 | 06/23/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stuart Quinn Hoshide | 1838860 | 15 | 05/16/2014 | Customer Dispute | Settled | $456,778.00 | $0.00 | See FINRA Report |
| Antonio Omar Gonzalez Davila | 2491572 | 6 | 05/13/2014 | Customer Dispute | Settled | $978,000.00 | $0.00 | See FINRA Report |
| Theodore Bernhardt Erickson | 2376988 | 4 | 04/29/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas William Stoecker | 2430351 | 2 | 04/29/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Evans Lee Taylor | 2101193 | 1 | 04/17/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brett Jurgen Fisher | 5264459 | 4 | 04/17/2014 | Customer Dispute | Settled | $20,220.00 | $0.00 | See FINRA Report |
| Joel David Malick | 4247438 | 2 | 04/15/2014 | Customer Dispute | Settled | $720,000.00 | $0.00 | See FINRA Report |