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 |
|---|---|---|---|---|---|---|---|---|
| Pascal Dung Gia Nguyen | 2131938 | 6 | 03/15/2012 | Customer Dispute | Denied | $8,127.82 | $0.00 | See FINRA Report |
| Kale David Magness | 2618538 | 1 | 03/13/2012 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| William Joseph Schafer | 1896301 | 1 | 03/08/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Alan Rudolph | 1199955 | 2 | 03/08/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Wiskus | 4121608 | 2 | 03/07/2012 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Aaron James Verbrugge | 4552192 | 1 | 03/05/2012 | Customer Dispute | Denied | $15,209.00 | $0.00 | See FINRA Report |
| Richard Alan Hoberman | 4299250 | 9 | 02/21/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Taylor Reynolds | 6991248 | 1 | 12/04/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Paul Rupp | 4784665 | 2 | 11/21/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Kenneth Henker | 2515466 | 2 | 11/07/2011 | Customer Dispute | Denied | $8,251.38 | $0.00 | See FINRA Report |