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 |
|---|---|---|---|---|---|---|---|---|
| Ricky Mills Higgins | 1726947 | 2 | 02/22/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Andrew Hester | 4382344 | 1 | 01/03/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Clary Smith | 4808337 | 2 | 06/20/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nick L Morgan | 4096036 | 6 | 03/30/2017 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Nick L Morgan | 4096036 | 6 | 12/02/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Clary Smith | 4808337 | 2 | 05/25/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ricky Mills Higgins | 1726947 | 2 | 05/25/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Troy Lee Thompson | 1873172 | 1 | 03/11/2016 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| Nick L Morgan | 4096036 | 6 | 06/19/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nick L Morgan | 4096036 | 6 | 03/11/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |