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 |
|---|---|---|---|---|---|---|---|---|
| Janet Johnson Bullard | 2641367 | 1 | 07/06/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David William Novak | 2811131 | 1 | 09/05/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Douglas Cornell | 1790408 | 5 | 01/08/2009 | Customer Dispute | Withdrawn | $20,000.00 | $0.00 | See FINRA Report |
| Samuel Douglas Cornell | 1790408 | 5 | 09/26/2005 | Customer Dispute | Pending | $25,000.00 | $0.00 | See FINRA Report |
| Samuel Douglas Cornell | 1790408 | 5 | 05/25/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Samuel Douglas Cornell | 1790408 | 5 | 08/09/2004 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Gregg Stephen Ducatte | 704757 | 3 | 07/09/2003 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Samuel Douglas Cornell | 1790408 | 5 | 07/08/2002 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Gregg Stephen Ducatte | 704757 | 3 | 03/23/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Gregg Stephen Ducatte | 704757 | 3 | 11/17/1994 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |