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 |
|---|---|---|---|---|---|---|---|---|
| David L Ediger | 2597209 | 4 | 02/19/2016 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| James Edward Schwalbe | 2741086 | 2 | 02/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Paul Herried | 4669024 | 1 | 02/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Monty Alan Alspaugh | 4201153 | 6 | 01/19/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Andrew Doran | 5783967 | 2 | 01/11/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel Louis Hebert | 2679181 | 7 | 01/11/2016 | Customer Dispute | Settled | $8,793.80 | $0.00 | See FINRA Report |
| Michael Joseph Savastano | 1928370 | 1 | 12/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David L Ediger | 2597209 | 4 | 11/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William C Rowell | 4396537 | 1 | 11/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Louis Hebert | 2679181 | 7 | 11/12/2015 | Customer Dispute | Settled | $43,000.00 | $0.00 | See FINRA Report |