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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Thomas Ullmann | 1293001 | 3 | 04/17/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donald R Ayers | 1529464 | 8 | 03/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Benny J Stewart | 5951317 | 3 | 02/26/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Donald R Ayers | 1529464 | 8 | 01/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew Stephen Miller | 5615783 | 1 | 11/10/2017 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |
| Dennis Lee Travis | 2166809 | 7 | 11/03/2017 | Customer Dispute | Settled | $57,643.60 | $0.00 | See FINRA Report |
| Benny J Stewart | 5951317 | 3 | 04/05/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patty Kelley Scott | 2797415 | 2 | 04/04/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Allen Gash | 2275493 | 2 | 11/23/2015 | Customer Dispute | Denied | $6,408.78 | $0.00 | See FINRA Report |
| Mark Allen Gash | 2275493 | 2 | 10/15/2015 | Customer Dispute | Denied | $13,816.20 | $0.00 | See FINRA Report |