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 |
|---|---|---|---|---|---|---|---|---|
| Audrey Sanders | 1535416 | 1 | 11/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kimberly Noelle Nichols | 5842948 | 2 | 06/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Noelle Nichols | 5842948 | 2 | 06/29/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Hartwell Cox | 2143012 | 4 | 06/27/2006 | Customer Dispute | Withdrawn | $21,000.00 | $0.00 | See FINRA Report |
| William Hartwell Cox | 2143012 | 4 | 06/27/2006 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| William Hartwell Cox | 2143012 | 4 | 06/27/2006 | Customer Dispute | Withdrawn | $17,000.00 | $0.00 | See FINRA Report |
| William Hartwell Cox | 2143012 | 4 | 09/30/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Russell Garrett Thornton | 2388723 | 1 | 02/19/2002 | Customer Dispute | Denied | $501,958.00 | $0.00 | See FINRA Report |