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 |
|---|---|---|---|---|---|---|---|---|
| Wendy Lynn Nicholsen | 4180791 | 9 | 12/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wendy Lynn Nicholsen | 4180791 | 9 | 12/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wendy Lynn Nicholsen | 4180791 | 9 | 12/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wendy Lynn Nicholsen | 4180791 | 9 | 11/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Jason Young | 6921896 | 1 | 09/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Fleet Cooper Ratliff | 5714703 | 1 | 09/16/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Brandon Maxwell Cohen | 6115274 | 1 | 06/22/2016 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Mark Dydzuhn | 4781546 | 1 | 06/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wayne F Slattery | 4883823 | 1 | 04/04/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Derek Wesley Howard | 6718814 | 1 | 03/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |