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 |
|---|---|---|---|---|---|---|---|---|
| Jerry Roy Yockey | 2275235 | 1 | 08/12/2009 | Customer Dispute | Closed-No Action | $150,000.00 | $0.00 | See FINRA Report |
| Joe David Myers | 1867342 | 6 | 03/05/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Adin Rodriguez | 4149530 | 9 | 01/24/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joe David Myers | 1867342 | 6 | 04/28/2006 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Adin Rodriguez | 4149530 | 9 | 07/13/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barbara Ann Mutsaers | 2339094 | 3 | 06/10/2003 | Customer Dispute | Award / Judgment | $85,000.00 | $6,000.00 | See FINRA Report |
| Jose Ivan Acosta Jordan | 1688356 | 10 | 03/24/2003 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Sean Patrick Craig | 2699615 | 1 | 03/04/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Walter Minton | 2240878 | 1 | 10/21/2002 | Customer Dispute | Settled | $7,789.00 | $0.00 | See FINRA Report |
| Garrick George Batley | 6013179 | 1 | 07/26/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |