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 Grant Patton | 4601054 | 1 | 10/24/2011 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Kyle Joon Kim | 2446395 | 3 | 09/28/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Phillip John Bucaro | 2171289 | 2 | 06/16/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Thomas Steffl | 4452047 | 1 | 03/11/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Farid Mokhtarian | 2788067 | 3 | 10/04/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Allen Jacobs | 256420 | 7 | 11/04/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael David Westerfield | 4900861 | 2 | 03/08/2009 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| John Bryan Setzler | 1945515 | 2 | 02/23/2009 | Customer Dispute | Denied | $12,002.50 | $0.00 | See FINRA Report |
| Edgar Alfred Morales | 1078765 | 2 | 07/18/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Susan Alice Spancers | 2128601 | 1 | 04/07/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |