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 |
|---|---|---|---|---|---|---|---|---|
| David Leon Johnson | 1121031 | 1 | 01/23/2004 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Carrie Lynn Hall | 1405784 | 1 | 01/05/2004 | Customer Dispute | Denied | $157,000.00 | $0.00 | See FINRA Report |
| Gail Ann Kincannon | 1962679 | 4 | 12/17/2003 | Customer Dispute | Settled | $55,135.30 | $0.00 | See FINRA Report |
| Rakesh K Sharma | 3030547 | 1 | 12/16/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Arvind Saxena | 7270550 | 1 | 11/16/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Drake Miller | 2302303 | 1 | 11/13/2003 | Customer Dispute | Denied | $77,000.00 | $0.00 | See FINRA Report |
| Walter Clifford May | 1682416 | 1 | 09/23/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tara Cole Ellis | 5058128 | 2 | 09/19/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jesse Paul Crispe | 2562512 | 4 | 09/07/2003 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Scott Rodger Alexander | 2542170 | 2 | 06/23/2003 | Customer Dispute | Denied | $5,518.59 | $0.00 | See FINRA Report |