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 |
|---|---|---|---|---|---|---|---|---|
| David Michael Davis | 6115702 | 1 | 03/05/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Mark William Thompson | 840935 | 8 | 02/27/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 01/28/2013 | Customer Dispute | Settled | $892,745.00 | $0.00 | See FINRA Report |
| Briton Eric Waugh | 4905589 | 1 | 01/24/2013 | Customer Dispute | Settled | $61,159.80 | $0.00 | See FINRA Report |
| Richard William Leidal | 1215703 | 3 | 12/21/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carrie Lynn Cole | 1619384 | 1 | 11/19/2012 | Customer Dispute | Settled | $724,500.00 | $0.00 | See FINRA Report |
| Jaime D Hernandez | 2609661 | 3 | 10/31/2012 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Kevin Christopher O'Neill | 4464218 | 1 | 10/17/2012 | Customer Dispute | Denied | $25,173.00 | $0.00 | See FINRA Report |
| Robert Graham Johnson | 1003435 | 2 | 10/10/2012 | Customer Dispute | Settled | $21,075.60 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 08/15/2012 | Customer Dispute | Settled | $2,506,880.00 | $0.00 | See FINRA Report |