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 |
|---|---|---|---|---|---|---|---|---|
| James Walter Hartwell | 2400781 | 2 | 11/12/2002 | Customer Dispute | Settled | $671,490.00 | $0.00 | See FINRA Report |
| James Walter Hartwell | 2400781 | 2 | 07/30/2002 | Customer Dispute | Settled | $1,611,500.00 | $0.00 | See FINRA Report |
| Arthur Allen Freedman | 4343854 | 1 | 07/30/2002 | Customer Dispute | Settled | $1,611,500.00 | $0.00 | See FINRA Report |