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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Charles Swanson | 2528342 | 2 | 10/29/2004 | Customer Dispute | Settled | $17,500.00 | $0.00 | See FINRA Report |
| Edward Thomas Kratty | 1792182 | 2 | 12/03/2003 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Fred Zamiara | 1496105 | 2 | 06/27/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Sean David Patton | 1845257 | 3 | 03/22/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| James Frankel Horrocks | 2468549 | 2 | 03/26/2001 | Customer Dispute | Settled | $82,050.00 | $0.00 | See FINRA Report |
| Arlo Bryan Sullivan | 2209899 | 3 | 01/22/2001 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Arlo Bryan Sullivan | 2209899 | 3 | 04/28/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Sean David Patton | 1845257 | 3 | 09/20/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| David Michael Kover | 1854836 | 1 | 11/30/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Joseph Groebl | 2210932 | 2 | 02/24/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |