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 |
|---|---|---|---|---|---|---|---|---|
| Brian Keith Music | 2270357 | 6 | 05/10/2013 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| James Clayton McConnell | 4969560 | 1 | 03/27/2013 | Customer Dispute | Settled | $18,195.00 | $0.00 | See FINRA Report |
| Craig William Mardi | 1358480 | 1 | 03/22/2013 | Customer Dispute | Settled | $7,893.54 | $0.00 | See FINRA Report |
| Dominic Edward Marsico | 837526 | 2 | 03/01/2013 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| David Kevin Dugan | 1024104 | 2 | 02/26/2013 | Customer Dispute | Settled | $18,817.30 | $0.00 | See FINRA Report |
| Thomas Michael Jeffrey | 1052111 | 7 | 02/14/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kelly John Nelson | 2658671 | 4 | 12/03/2012 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Peter Michael Kalin | 3097799 | 4 | 11/05/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kelly John Nelson | 2658671 | 4 | 10/24/2012 | Customer Dispute | Settled | $332,000.00 | $0.00 | See FINRA Report |
| Lynn Anne Gillen | 4371383 | 1 | 08/29/2012 | Customer Dispute | Settled | $182,000.00 | $0.00 | See FINRA Report |