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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Terrence Graff | 5400355 | 2 | 04/25/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Michael Bruderman | 2673867 | 2 | 04/20/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rick Kent Stivers | 1927140 | 2 | 03/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Charles Maus | 4810595 | 1 | 02/17/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ammie Mareez Tolentino de los Reyes | 7302682 | 1 | 02/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Patrick Hagerty | 2593690 | 1 | 01/28/2022 | Customer Dispute | Denied | $14,877.50 | $0.00 | See FINRA Report |
| Christopher Allen Turner | 6349528 | 1 | 01/24/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Ronald Morgan | 2540641 | 2 | 12/28/2021 | Customer Dispute | Denied | $38,658.10 | $0.00 | See FINRA Report |
| Thomas Jon Walther | 2604600 | 3 | 12/07/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Jon Walther | 2604600 | 3 | 12/07/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |