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 |
|---|---|---|---|---|---|---|---|---|
| Charles Patrick Hahn | 1013066 | 2 | 05/14/2001 | Customer Dispute | Settled | $76,025.60 | $0.00 | See FINRA Report |
| Michael Ray Clark | 1672801 | 1 | 04/18/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Walter Roy Bomgren | 1138265 | 2 | 04/12/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark S Banner | 2055606 | 1 | 04/09/2001 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Anand Singh | 425229 | 5 | 03/12/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Thomas Ragold | 1808168 | 2 | 03/08/2001 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Michael Kenneth Self | 2246403 | 9 | 03/07/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael Joseph St. Pierre | 1760408 | 3 | 09/12/2000 | Customer Dispute | Settled | $9,100.00 | $0.00 | See FINRA Report |
| Dennis Michael Lomax | 1928772 | 4 | 09/03/2000 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Joseph Allan Marshall | 1023070 | 3 | 08/21/2000 | Customer Dispute | Settled | $41,000.00 | $0.00 | See FINRA Report |