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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Sean David Patton | 1845257 | 3 | 09/20/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James McRae Izett | 712827 | 5 | 12/28/1995 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| David Bruce Utter | 600105 | 5 | 04/02/1991 | Customer Dispute | Settled | $58,850.00 | $0.00 | See FINRA Report |