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 |
|---|---|---|---|---|---|---|---|---|
| John Russell Dee | 6109436 | 1 | 11/18/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mary H Jochim | 862780 | 4 | 12/09/2003 | Customer Dispute | Award / Judgment | $525,000.00 | $315,691.00 | See FINRA Report |
| Mary H Jochim | 862780 | 4 | 07/08/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mary H Jochim | 862780 | 4 | 10/30/2002 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Mary H Jochim | 862780 | 4 | 09/01/1994 | Customer Dispute | Award / Judgment | $1,200,000.00 | $13,590.00 | See FINRA Report |
| Michael John Butkus | 1155737 | 1 | 08/04/1993 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |