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 |
|---|---|---|---|---|---|---|---|---|
| David Benton Moore | 1008089 | 6 | 08/19/1998 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Gregory John Halstead | 1626685 | 6 | 06/10/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Luck Rowell | 1959878 | 3 | 05/14/1998 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Thomas Michael Roycroft | 2181465 | 2 | 02/26/1998 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Andrew Roman Morawski | 339629 | 1 | 02/05/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel David Moss | 718792 | 10 | 02/03/1998 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Thomas Norman Zirbel | 1031111 | 4 | 09/23/1997 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Ivanhoe Vincent Ffriend | 1013083 | 4 | 07/31/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Benton Moore | 1008089 | 6 | 07/21/1997 | Customer Dispute | Settled | $64,339.00 | $0.00 | See FINRA Report |
| Pan Jung Kwe | 2376927 | 2 | 06/26/1997 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |