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 |
|---|---|---|---|---|---|---|---|---|
| Peter Carswell Starr | 2692714 | 2 | 07/31/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| William Robert Wilde | 2263421 | 3 | 07/07/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Thomas Mawby | 2797493 | 3 | 06/30/2003 | Customer Dispute | Denied | $7,538.93 | $0.00 | See FINRA Report |
| Richard Thomas | 2223861 | 1 | 06/18/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Daniel Stevenson Shirley | 723576 | 3 | 06/12/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael David Mathias | 1349406 | 21 | 06/09/2003 | Customer Dispute | Denied | $284,800.00 | $0.00 | See FINRA Report |
| Gary William Holland | 852976 | 6 | 05/20/2003 | Customer Dispute | Denied | $6,016.00 | $0.00 | See FINRA Report |
| Brent Douglas Thummel | 4077710 | 1 | 05/06/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Francis McCarthy | 1303361 | 1 | 04/30/2003 | Customer Dispute | Denied | $58,000.00 | $0.00 | See FINRA Report |
| James Martin Starnes | 4309891 | 1 | 04/29/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |