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 |
|---|---|---|---|---|---|---|---|---|
| Richard James Rugel | 3200986 | 1 | 05/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerry Charles Adam | 2014689 | 1 | 01/29/2019 | Customer Dispute | Settled | $2,646,780.00 | $0.00 | See FINRA Report |
| James Allen Jacobs | 256420 | 7 | 10/21/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael David Westerfield | 4900861 | 2 | 03/05/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edwin George Colvin | 1363448 | 1 | 01/22/2015 | Customer Dispute | Settled | $20,570.70 | $0.00 | See FINRA Report |
| Michael David Westerfield | 4900861 | 2 | 03/08/2009 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| James Daniel Gothers | 2853671 | 1 | 10/25/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph McFarland | 2151812 | 2 | 08/05/2005 | Customer Dispute | Settled | $19,238.90 | $0.00 | See FINRA Report |
| Edgar Alfred Morales | 1078765 | 2 | 12/20/2002 | Customer Dispute | Settled | $20,764.70 | $0.00 | See FINRA Report |
| Igor A Zey | 1086097 | 7 | 03/30/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |