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 |
|---|---|---|---|---|---|---|---|---|
| Serge Tinovsky | 2423709 | 2 | 06/17/2004 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Susan Marie Blood | 2382263 | 1 | 06/16/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gillian Carole Lotz Hopkins | 4126198 | 6 | 02/06/2004 | Customer Dispute | Settled | $51,019.50 | $0.00 | See FINRA Report |
| David Leon Johnson | 1121031 | 1 | 01/23/2004 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Gail Ann Kincannon | 1962679 | 4 | 12/17/2003 | Customer Dispute | Settled | $55,135.30 | $0.00 | See FINRA Report |
| Jesse Paul Crispe | 2562512 | 4 | 09/07/2003 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Galen Dwight Dody | 1911757 | 3 | 03/31/2003 | Customer Dispute | Settled | $17,157.00 | $0.00 | See FINRA Report |
| Bradley Dufrane | 2656156 | 3 | 10/29/2002 | Customer Dispute | Settled | $18,959.70 | $0.00 | See FINRA Report |
| Christopher Wells Battersby | 1704836 | 1 | 05/24/2002 | Customer Dispute | Settled | $113,886.00 | $0.00 | See FINRA Report |
| Alice Gail Gabrelian | 1266490 | 1 | 05/10/2002 | Customer Dispute | Settled | $13,882.20 | $0.00 | See FINRA Report |