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 |
|---|---|---|---|---|---|---|---|---|
| Jon Mark Dabareiner | 1893076 | 18 | 09/25/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jon Mark Dabareiner | 1893076 | 18 | 09/12/2017 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Thomas Stephen Walls | 1105863 | 14 | 09/08/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Cleveland Collier | 873890 | 1 | 05/29/2017 | Customer Dispute | Settled | $37,500.00 | $0.00 | See FINRA Report |
| David Frederick Guensch | 1769051 | 4 | 03/15/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Stephen Walls | 1105863 | 14 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Reed Croxton | 4882242 | 2 | 11/29/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brandon Reed Croxton | 4882242 | 2 | 11/29/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Stephen Walls | 1105863 | 14 | 09/07/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Frederick Guensch | 1769051 | 4 | 06/30/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |