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 |
|---|---|---|---|---|---|---|---|---|
| Christie S Mueller | 1396385 | 3 | 03/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Kenneth Henker | 2515466 | 2 | 03/02/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kristen Ellen Gulbran | 2388472 | 1 | 02/20/2009 | Customer Dispute | Denied | $5,807.99 | $0.00 | See FINRA Report |
| Mark Perry Kissinger | 4546631 | 1 | 02/17/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Herbert Brenmark | 1335714 | 1 | 02/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Norman Janis | 5137100 | 2 | 01/23/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Phillip Ray Whitehead | 2513482 | 1 | 01/12/2009 | Customer Dispute | Withdrawn | $8,961.00 | $0.00 | See FINRA Report |
| Pascal Dung Gia Nguyen | 2131938 | 6 | 12/17/2008 | Customer Dispute | Denied | $63,115.00 | $0.00 | See FINRA Report |
| Deborah Lynn Tappan | 1004863 | 1 | 12/15/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alison Joy Flaum | 2951500 | 3 | 12/15/2008 | Customer Dispute | Denied | $37,325.30 | $0.00 | See FINRA Report |