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 |
|---|---|---|---|---|---|---|---|---|
| Michael Preston Cox | 1241173 | 2 | 08/19/2005 | Customer Dispute | Denied | $10,500.00 | $0.00 | See FINRA Report |
| Thomas Stephen Walls | 1105863 | 14 | 07/28/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jon Mark Dabareiner | 1893076 | 18 | 07/01/2005 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jon Mark Dabareiner | 1893076 | 18 | 07/28/2004 | Customer Dispute | Denied | $112,432.00 | $0.00 | See FINRA Report |
| Jon Mark Dabareiner | 1893076 | 18 | 09/19/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jon Mark Dabareiner | 1893076 | 18 | 08/01/2000 | Customer Dispute | Settled | $344,632.00 | $0.00 | See FINRA Report |
| Jon Mark Dabareiner | 1893076 | 18 | 06/23/1999 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |
| Michael Preston Cox | 1241173 | 2 | 09/24/1996 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Thomas Stephen Walls | 1105863 | 14 | 06/01/1987 | Customer Dispute | Award / Judgment | $60,000.00 | $788,000.00 | See FINRA Report |