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 |
|---|---|---|---|---|---|---|---|---|
| Simon George Bloomfield | 4943708 | 1 | 03/20/2011 | Customer Dispute | Closed-No Action | $49,869.20 | $0.00 | See FINRA Report |
| Jeffrey Terrence Graff | 5400355 | 2 | 03/18/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Randall Dean Hart | 2164383 | 1 | 03/08/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Paul Rupp | 4784665 | 2 | 03/02/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Chien Kain Yeh | 4777090 | 3 | 02/15/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bryan Donald Wulz | 1308247 | 1 | 02/11/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alison Joy Flaum | 2951500 | 3 | 02/10/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Dale Ingram | 1785617 | 1 | 02/07/2011 | Customer Dispute | Denied | $7,228.12 | $0.00 | See FINRA Report |
| Jeffrey Richard Knight | 1241471 | 3 | 01/19/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| George Paul Stark | 2310424 | 3 | 01/19/2011 | Customer Dispute | Settled | $11,595.30 | $0.00 | See FINRA Report |