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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Robert Pate Ellington-Montes | 5519248 | 1 | 12/17/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Michael Lewis | 5885486 | 3 | 09/25/2017 | Customer Dispute | Denied | $51,361.00 | $0.00 | See FINRA Report |
| Bradley Joseph Miller | 5087237 | 1 | 07/31/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Peter Michael Lewis | 5885486 | 3 | 06/08/2015 | Customer Dispute | Settled | $17,424.50 | $0.00 | See FINRA Report |
| James Arthur Steinbrenner | 1225845 | 3 | 02/21/2014 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |
| Peter Michael Lewis | 5885486 | 3 | 09/07/2013 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| Marie Louise Kata | 2230454 | 1 | 05/20/2013 | Customer Dispute | Closed-No Action | $14,000.00 | $0.00 | See FINRA Report |
| Stephen Lawrence Brown | 846431 | 6 | 12/12/2012 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Stephen Lawrence Brown | 846431 | 6 | 06/10/2012 | Customer Dispute | Settled | $1,343,990.00 | $0.00 | See FINRA Report |
| Kimberly Lynn Steinbrenner | 5690153 | 1 | 10/27/2011 | Customer Dispute | Denied | $7,485.00 | $0.00 | See FINRA Report |