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 |
|---|---|---|---|---|---|---|---|---|
| Gillian Carole Lotz Hopkins | 4126198 | 6 | 07/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Monty Alan Alspaugh | 4201153 | 6 | 04/23/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Alan Hoberman | 4299250 | 9 | 01/07/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas J Kanaley | 4299839 | 8 | 10/02/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Monty Alan Alspaugh | 4201153 | 6 | 09/24/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gwendolyn Pudim Tibbals | 1093467 | 14 | 06/21/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Alan Hoberman | 4299250 | 9 | 04/30/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Curtis Medairy | 1219555 | 4 | 04/25/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edward James Kelly | 2017986 | 4 | 07/12/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Alan Hoberman | 4299250 | 9 | 02/21/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |