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 |
|---|---|---|---|---|---|---|---|---|
| John Thomas Ermer | 1567043 | 1 | 01/31/2000 | Customer Dispute | Settled | $20,090.00 | $0.00 | See FINRA Report |
| Gwendolyn Pudim Tibbals | 1093467 | 14 | 12/17/1999 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard David Steiner | 2404359 | 2 | 11/10/1999 | Customer Dispute | Denied | $22,606.00 | $0.00 | See FINRA Report |
| Stacy Hoffman | 2024467 | 2 | 11/10/1999 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
| Kenneth Dean Price | 5520853 | 2 | 10/22/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Damon | 4501030 | 4 | 07/30/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam David Herzing | 5448024 | 2 | 07/08/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Robert Burton | 4465278 | 2 | 06/22/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Theodore Robert Young | 2026394 | 2 | 06/07/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Robert Guilford | 2308983 | 1 | 03/18/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |