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 |
|---|---|---|---|---|---|---|---|---|
| Eric Allen Wood | 3079104 | 5 | 08/17/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Thomas Sullivan | 2289931 | 1 | 07/20/2021 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Eric Allen Wood | 3079104 | 5 | 09/28/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| A C Brown | 2982569 | 2 | 05/22/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Jerome Lecure | 3144262 | 2 | 03/28/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Collins Kinder | 1442891 | 3 | 01/26/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Collins Kinder | 1442891 | 3 | 06/30/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Lewis Chambers | 1231649 | 2 | 07/17/2013 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Robert Stephen Rich | 375448 | 2 | 02/03/2012 | Customer Dispute | Settled | $2,900,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rich | 1958291 | 1 | 01/19/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |