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 |
|---|---|---|---|---|---|---|---|---|
| Mitchell Scott Kahn | 2358007 | 1 | 03/04/1999 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Michael Kenneth Self | 2246403 | 9 | 01/19/1999 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Ronald Huston Keebler | 1557887 | 4 | 01/15/1999 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Charles Thomas Douthit | 1837179 | 6 | 12/18/1998 | Customer Dispute | Settled | $22,731.00 | $0.00 | See FINRA Report |
| Daniel Grieco | 1222747 | 3 | 12/10/1998 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| John Thomas Golden | 1041665 | 1 | 11/13/1998 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Michael Kenneth Self | 2246403 | 9 | 11/11/1998 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Debra J Gallegos-Caldwell | 1476422 | 1 | 10/27/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Alan Hoffman | 2670530 | 4 | 09/22/1998 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| James Alan Hoffman | 2670530 | 4 | 08/25/1998 | Customer Dispute | Settled | $180,328.00 | $0.00 | See FINRA Report |