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 |
|---|---|---|---|---|---|---|---|---|
| Heather Polly Johnson | 2303792 | 2 | 07/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard French Judd | 1891117 | 7 | 12/12/2018 | Customer Dispute | Award / Judgment | $27,400.00 | $1,209.60 | See FINRA Report |
| Robert Bradley Fincher | 4168267 | 1 | 09/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Heather Polly Johnson | 2303792 | 2 | 05/18/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sterling Tyler Moore | 2646859 | 1 | 10/03/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard French Judd | 1891117 | 7 | 08/07/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Richard French Judd | 1891117 | 7 | 06/15/2009 | Customer Dispute | Settled | $480,000.00 | $0.00 | See FINRA Report |
| Richard French Judd | 1891117 | 7 | 01/16/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard French Judd | 1891117 | 7 | 09/21/2007 | Customer Dispute | Settled | $46,434.90 | $0.00 | See FINRA Report |
| Duc Vu Nguyen | 4305388 | 1 | 09/01/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |