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 |
|---|---|---|---|---|---|---|---|---|
| Roger Ivar Grumdahl | 2303665 | 1 | 11/21/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| William Andrew Doran | 5783967 | 2 | 06/06/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Vito Gisonda | 2730740 | 1 | 05/03/2017 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| Stephen Mark Patton | 5135020 | 1 | 01/30/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aaron Michael Jones | 5148567 | 1 | 01/03/2017 | Customer Dispute | Settled | $5,279.85 | $0.00 | See FINRA Report |
| Nicholas D Rogers | 4587206 | 1 | 10/18/2016 | Customer Dispute | Settled | $5,079.34 | $0.00 | See FINRA Report |
| Jason Jeffery Metzger | 2893148 | 1 | 08/22/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Francis Joseph Vlock | 828638 | 3 | 07/05/2016 | Customer Dispute | Settled | $347,157.00 | $0.00 | See FINRA Report |
| Jade Austin Thelin | 5645685 | 2 | 05/23/2016 | Customer Dispute | Settled | $30,258.50 | $0.00 | See FINRA Report |
| Lee Alan Kitzenberg | 4534245 | 4 | 04/20/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |