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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Brian Smith | 4653194 | 1 | 03/20/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Winston McGilchrist | 1029958 | 11 | 03/01/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Annie Cronin | 2287522 | 4 | 02/24/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Annie Cronin | 2287522 | 4 | 02/24/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Trevor Kene Litherland | 732572 | 4 | 01/20/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marlon Geroid Carter | 5488259 | 3 | 12/15/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lawrence Douglas Brooks | 5575440 | 2 | 11/22/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Korsa Nzidee | 4838402 | 1 | 08/22/2011 | Customer Dispute | Settled | $5,400.00 | $0.00 | See FINRA Report |
| John Steven McMillian | 4640570 | 1 | 07/21/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marty Michael Martinez | 3091591 | 4 | 04/18/2011 | Customer Dispute | Denied | $46,863.40 | $0.00 | See FINRA Report |