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 |
|---|---|---|---|---|---|---|---|---|
| Mark Edward Duck | 1401983 | 1 | 05/21/2010 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Thomas Nolan Pendleton | 5350768 | 2 | 04/12/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Gary Weinkle | 2532595 | 2 | 04/07/2010 | Customer Dispute | Settled | $43,255.10 | $0.00 | See FINRA Report |
| Timothy John Leahy | 3186212 | 2 | 04/06/2010 | Customer Dispute | Settled | $10,484.00 | $0.00 | See FINRA Report |
| Barry Leonard Finkelstein | 736467 | 1 | 04/05/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Travis K Skiles | 4229048 | 2 | 03/19/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher John Viveiros | 4246821 | 1 | 03/01/2010 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Nancy P Hertwig | 2072103 | 1 | 02/24/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kermit Roosevelt Griner | 1070425 | 9 | 02/22/2010 | Customer Dispute | Settled | $10,010.00 | $0.00 | See FINRA Report |
| Jason Thomas Bourque | 5178560 | 1 | 02/19/2010 | Customer Dispute | Settled | $35,740.10 | $0.00 | See FINRA Report |