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 |
|---|---|---|---|---|---|---|---|---|
| Jerry Don Coats | 1172100 | 2 | 07/27/2006 | Customer Dispute | Settled | $7,888.00 | $0.00 | See FINRA Report |
| Richard Joseph Enna | 2071921 | 2 | 07/10/2006 | Customer Dispute | Denied | $55,000.00 | $0.00 | See FINRA Report |
| Scotto D Caggiano | 1245430 | 1 | 05/30/2006 | Customer Dispute | Denied | $11,791.10 | $0.00 | See FINRA Report |
| Galen Dwight Dody | 1911757 | 3 | 05/18/2006 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Michael Ward McConnell | 1986000 | 1 | 04/11/2006 | Customer Dispute | Settled | $54,000.00 | $0.00 | See FINRA Report |
| Jeffrey Thomas Beebe | 2365629 | 2 | 03/14/2006 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Kevin James Mulqueen | 1100523 | 1 | 03/08/2006 | Customer Dispute | Denied | $10,216.20 | $0.00 | See FINRA Report |
| Louis Emanuele Margro | 2902711 | 1 | 03/01/2006 | Customer Dispute | Denied | $2,020,000.00 | $0.00 | See FINRA Report |
| Steven Ronald Morgan | 2540641 | 2 | 02/15/2006 | Customer Dispute | Denied | $13,352.00 | $0.00 | See FINRA Report |
| Kermit Roosevelt Griner | 1070425 | 9 | 02/13/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |