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 |
|---|---|---|---|---|---|---|---|---|
| Donald Edward Lippencott | 1235643 | 4 | 06/04/2003 | Customer Dispute | Denied | $8,211.87 | $0.00 | See FINRA Report |
| Jesse Paul Crispe | 2562512 | 4 | 04/29/2003 | Customer Dispute | Denied | $13,158.80 | $0.00 | See FINRA Report |
| Galen Dwight Dody | 1911757 | 3 | 03/31/2003 | Customer Dispute | Settled | $17,157.00 | $0.00 | See FINRA Report |
| Joseph Ronald Goodwin | 1531902 | 2 | 03/21/2003 | Customer Dispute | Denied | $6,579.24 | $0.00 | See FINRA Report |
| Kevin Dale Flaagan | 1419369 | 1 | 03/12/2003 | Customer Dispute | Denied | $6,452.88 | $0.00 | See FINRA Report |
| Akshaya Suresh Sheth | 2049173 | 2 | 03/03/2003 | Customer Dispute | Denied | $16,099.30 | $0.00 | See FINRA Report |
| S. Paulina Lee Nemec | 2865447 | 1 | 01/30/2003 | Customer Dispute | Denied | $25,180.00 | $0.00 | See FINRA Report |
| Akshaya Suresh Sheth | 2049173 | 2 | 12/27/2002 | Customer Dispute | Denied | $12,146.90 | $0.00 | See FINRA Report |
| Douglas Louis Shepard | 2970755 | 1 | 12/20/2002 | Customer Dispute | Denied | $5,500.00 | $0.00 | See FINRA Report |
| Frank Hasie Knox | 1702761 | 1 | 11/26/2002 | Customer Dispute | Denied | $8,868.01 | $0.00 | See FINRA Report |