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 |
|---|---|---|---|---|---|---|---|---|
| Scott Allan Wilson | 5174350 | 1 | 05/22/2014 | Customer Dispute | Award / Judgment | $6,205.59 | $6,205.59 | See FINRA Report |
| Dean Larson | 1787554 | 1 | 07/30/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joel David Smith | 5704489 | 1 | 07/05/2012 | Customer Dispute | Denied | $9,701.00 | $0.00 | See FINRA Report |
| Stuart Mullendore McDowell | 1844587 | 1 | 05/22/2012 | Customer Dispute | Denied | $56,800.00 | $0.00 | See FINRA Report |
| Cesar David Arriaza | 5473181 | 1 | 03/03/2011 | Customer Dispute | Closed-No Action | $7,333.32 | $0.00 | See FINRA Report |
| Keng Taing | 4655742 | 1 | 10/20/2009 | Customer Dispute | Denied | $15,086.80 | $0.00 | See FINRA Report |
| Eric Jon Handis | 2399280 | 1 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Gruenes | 4238652 | 1 | 04/06/2009 | Customer Dispute | Settled | $4,193.00 | $0.00 | See FINRA Report |
| Daniel Mark Goldfarb | 5012141 | 1 | 03/11/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Francis Flanagan | 4600230 | 2 | 10/21/2008 | Customer Dispute | Settled | $9,064.62 | $0.00 | See FINRA Report |