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 |
|---|---|---|---|---|---|---|---|---|
| Alton Mitsuo Takabayashi | 5831257 | 1 | 08/03/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Rodney Blake Christ | 2103830 | 2 | 07/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Denver Lee Nelson | 2934419 | 2 | 07/06/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Laurence Edward Pierron | 1465942 | 1 | 03/13/2017 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Timothy John McCormack | 4338396 | 2 | 02/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jack D Steele | 4441152 | 1 | 02/22/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Michael White | 2316760 | 6 | 02/07/2017 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Eric Todd Owens | 4624765 | 1 | 02/01/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick Michael Kelly | 1258726 | 8 | 11/22/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Quincy Jovon Goudeau | 4446099 | 2 | 11/15/2016 | Customer Dispute | Denied | $39,777.40 | $0.00 | See FINRA Report |