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 Michael Smith | 850797 | 1 | 03/01/2023 | Customer Dispute | Settled | $701,211.00 | $0.00 | See FINRA Report |
| Jonathan Eric Ellefson | 1625977 | 5 | 10/12/2022 | Customer Dispute | Settled | $538,000.00 | $0.00 | See FINRA Report |
| Jonathan Eric Ellefson | 1625977 | 5 | 06/28/2022 | Customer Dispute | Settled | $373,000.00 | $0.00 | See FINRA Report |
| Jonathan Eric Ellefson | 1625977 | 5 | 06/10/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathan Eric Ellefson | 1625977 | 5 | 02/14/2017 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Jeffrey Stephen Geraci | 1839469 | 3 | 12/21/2012 | Customer Dispute | Settled | $164,000.00 | $0.00 | See FINRA Report |
| Jeffrey Stephen Geraci | 1839469 | 3 | 06/18/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Thomas Robert Kay | 1360575 | 3 | 11/11/2008 | Customer Dispute | Settled | $20,787.90 | $0.00 | See FINRA Report |