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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Lee Travis | 2166809 | 7 | 11/03/2017 | Customer Dispute | Settled | $57,643.60 | $0.00 | See FINRA Report |
| Dennis Lee Travis | 2166809 | 7 | 09/13/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dennis Lee Travis | 2166809 | 7 | 04/19/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Thomas Ullmann | 1293001 | 3 | 04/13/2007 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Andrew Thomas Ullmann | 1293001 | 3 | 05/03/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Wayne Thompson | 713539 | 1 | 10/13/2003 | Customer Dispute | Settled | $10,500.00 | $0.00 | See FINRA Report |
| Stanley Clyde Mock | 337375 | 1 | 03/27/2002 | Customer Dispute | Settled | $45,545.00 | $0.00 | See FINRA Report |