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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Joseph Sloy | 1123348 | 3 | 06/03/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| James Craig Holst | 1007503 | 2 | 02/26/2002 | Customer Dispute | Award / Judgment | $4,000,000.00 | $3,300,000.00 | See FINRA Report |
| Ronald Joseph Sloy | 1123348 | 3 | 02/26/2002 | Customer Dispute | Award / Judgment | $4,000,000.00 | $3,300,000.00 | See FINRA Report |
| James Craig Holst | 1007503 | 2 | 12/10/2001 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Ronald Joseph Sloy | 1123348 | 3 | 12/10/2001 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |