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 |
|---|---|---|---|---|---|---|---|---|
| Darrell Thomas Alford | 1397636 | 1 | 04/07/2006 | Customer Dispute | Settled | $11,189.50 | $0.00 | See FINRA Report |
| Sean David Patton | 1845257 | 3 | 03/13/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Charles Swanson | 2528342 | 2 | 09/08/2005 | Customer Dispute | Closed-No Action | $83,749.70 | $0.00 | See FINRA Report |
| Daniel Thomas Dubois | 1468923 | 4 | 05/18/2005 | Customer Dispute | Settled | $327,000.00 | $0.00 | See FINRA Report |
| Daniel Thomas Dubois | 1468923 | 4 | 12/22/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| 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 |