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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth David Warnick | 1415675 | 4 | 06/14/2010 | Customer Dispute | Award / Judgment | $1,000,000.00 | $200,000.00 | See FINRA Report |
| Lawrence Miles Brazie | 857097 | 1 | 09/28/2001 | Customer Dispute | Award / Judgment | $150,000.00 | $23,000.00 | See FINRA Report |