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 |
|---|---|---|---|---|---|---|---|---|
| Kim Leon Cowdell | 1065494 | 4 | 05/31/2007 | Customer Dispute | Closed-No Action | $5,458.98 | $0.00 | See FINRA Report |
| 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 |
| John Francis Carr | 2075448 | 1 | 01/09/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kim Leon Cowdell | 1065494 | 4 | 03/13/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |