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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Daniel Tiarks | 4130957 | 1 | 03/17/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Arturo Martinez Campos | 39501 | 2 | 07/08/2020 | Customer Dispute | Closed-No Action | $30,220.40 | $0.00 | See FINRA Report |
| Alton Mitsuo Takabayashi | 5831257 | 1 | 08/03/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Rex Liess | 5515353 | 1 | 10/20/2016 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 05/01/2013 | Customer Dispute | Closed-No Action | $44,252.00 | $0.00 | See FINRA Report |
| Richard William Leidal | 1215703 | 3 | 05/31/2012 | Customer Dispute | Closed-No Action | $250,000.00 | $0.00 | See FINRA Report |
| Richard William Leidal | 1215703 | 3 | 05/03/2012 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Bud Nicol | 2413791 | 1 | 01/28/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Douglas George Thompson | 1015524 | 1 | 06/10/2002 | Customer Dispute | Closed-No Action | $8,200.00 | $0.00 | See FINRA Report |
| John Carl Kroll | 1057856 | 1 | 10/26/2001 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |