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 |
|---|---|---|---|---|---|---|---|---|
| Michael C Coates | 5397320 | 4 | 08/25/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robin C Luckett | 6849280 | 1 | 07/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kathleen Marie Carpenter | 2204356 | 2 | 01/26/2017 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Kathleen Marie Carpenter | 2204356 | 2 | 07/05/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Michael Horseman | 851636 | 4 | 04/08/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Russell Merton Hall | 2098008 | 8 | 06/28/2012 | Customer Dispute | Settled | $25,958.00 | $0.00 | See FINRA Report |
| Kelly G Richards | 4918409 | 1 | 08/06/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tracy Frank Lasecke | 2784045 | 2 | 06/16/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Bartolomeo Giordano | 2113945 | 2 | 11/18/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sean Timothy Murray | 2355021 | 1 | 08/20/2009 | Customer Dispute | Denied | $96,380.50 | $0.00 | See FINRA Report |