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 |
|---|---|---|---|---|---|---|---|---|
| Beau Daniel McGuire | 6926854 | 1 | 10/22/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Michael Horseman | 851636 | 4 | 04/25/2005 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| John Michael Horseman | 851636 | 4 | 03/11/2005 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Hugh B Phillips | 1816426 | 1 | 09/13/2004 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Randall Scott Ponder | 1898706 | 2 | 01/05/2004 | Customer Dispute | Settled | $845,000.00 | $0.00 | See FINRA Report |
| Lisa Fulco | 2630703 | 2 | 03/23/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Tufts Dippel | 2810097 | 1 | 02/16/2000 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Natalie Lynn Quirarte | 2314765 | 1 | 05/22/1999 | Customer Dispute | Settled | $64,980.40 | $0.00 | See FINRA Report |
| Russell Merton Hall | 2098008 | 8 | 01/20/1999 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Tracy Frank Lasecke | 2784045 | 2 | 03/30/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |