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 |
|---|---|---|---|---|---|---|---|---|
| Kent Stuart Waugh | 3187333 | 1 | 02/20/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 02/17/2012 | Customer Dispute | Settled | $502,762.00 | $0.00 | See FINRA Report |
| Rodney Lee Clark | 1928306 | 3 | 02/15/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jerome Stanley Rydell | 408389 | 91 | 01/30/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 01/30/2012 | Customer Dispute | Settled | $378,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 01/26/2012 | Customer Dispute | Settled | $3,266,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 01/26/2012 | Customer Dispute | Settled | $945,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 12/12/2011 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Don Eugene Etchison | 1037114 | 2 | 12/07/2011 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Jerome Stanley Rydell | 408389 | 91 | 11/29/2011 | Customer Dispute | Settled | $1,067,500.00 | $0.00 | See FINRA Report |