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 |
|---|---|---|---|---|---|---|---|---|
| Richard Dean Spivey | 1062792 | 1 | 07/11/2013 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| James John Edwards | 4056830 | 1 | 05/16/2008 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |