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 |
|---|---|---|---|---|---|---|---|---|
| John Carter Forbes | 706054 | 3 | 08/11/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bruce Gene Vollrath | 1212255 | 7 | 01/11/1993 | Customer Dispute | Award / Judgment | $35,000.00 | $19,276.00 | See FINRA Report |
| Conor Gerard Casey | 1777471 | 2 | 11/14/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Lawrence Brown | 846431 | 6 | 10/13/1992 | Customer Dispute | Award / Judgment | $36,000.00 | $33,622.80 | See FINRA Report |
| Todd Stuart Morgan | 1296324 | 5 | 02/08/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Lawrence Brown | 846431 | 6 | 12/11/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Stuart Morgan | 1296324 | 5 | 10/15/1990 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |
| Bruce Gene Vollrath | 1212255 | 7 | 12/18/1989 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Stephen Lawrence Brown | 846431 | 6 | 11/21/1989 | Customer Dispute | Award / Judgment | $0.00 | $13,589.00 | See FINRA Report |
| Bruce Gene Vollrath | 1212255 | 7 | 04/11/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |