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 |
|---|---|---|---|---|---|---|---|---|
| Timothy James Kattke | 1158141 | 1 | 11/09/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Hawley Quaife | 817666 | 1 | 11/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert George Karalius | 1952078 | 1 | 10/27/2015 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Rebecca Ann Gorrell | 5288880 | 1 | 10/07/2015 | Customer Dispute | Settled | $149,925.00 | $0.00 | See FINRA Report |
| Jade Austin Thelin | 5645685 | 2 | 09/09/2015 | Customer Dispute | Denied | $13,527.70 | $0.00 | See FINRA Report |
| Larry Gordon Etzweiler | 855267 | 4 | 08/31/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Joel Minehart | 4390298 | 1 | 08/24/2015 | Customer Dispute | Settled | $112,706.00 | $0.00 | See FINRA Report |
| Richard Alan Hoberman | 4299250 | 9 | 07/13/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Paul Sauser | 4080905 | 1 | 07/10/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alisha Raeann Gillette | 6545921 | 3 | 07/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |