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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Robert Kay | 1360575 | 3 | 11/08/2004 | Customer Dispute | Denied | $13,359.00 | $0.00 | See FINRA Report |
| Thomas Robert Kay | 1360575 | 3 | 07/25/2003 | Customer Dispute | Denied | $12,326.10 | $0.00 | See FINRA Report |
| Kim Leon Cowdell | 1065494 | 4 | 05/17/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kim Leon Cowdell | 1065494 | 4 | 10/01/1999 | Customer Dispute | Closed-No Action | $18,555.50 | $0.00 | See FINRA Report |