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 |
|---|---|---|---|---|---|---|---|---|
| Rene Henriksen | 2798761 | 6 | 04/05/2017 | Customer Dispute | Closed-No Action | $92,973.50 | $0.00 | See FINRA Report |
| Kimberly Ann Ferry | 4718950 | 1 | 01/05/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Maxwell Douglas Peckler | 2391251 | 6 | 09/07/2010 | Customer Dispute | Closed-No Action | $300,000.00 | $0.00 | See FINRA Report |
| Rene Henriksen | 2798761 | 6 | 05/27/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charles Radcliffe | 1560923 | 1 | 06/06/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Nelson | 3185886 | 2 | 08/12/2002 | Customer Dispute | Closed-No Action | $52,000.00 | $0.00 | See FINRA Report |
| John P Ver Bockel | 1127089 | 2 | 12/11/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Spencer R Strahan | 728124 | 1 | 05/29/2001 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Walter Phillip Schlaepfer | 1306585 | 4 | 01/18/2001 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |