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 |
|---|---|---|---|---|---|---|---|---|
| John Thomas Sullivan | 2289931 | 1 | 07/20/2021 | Customer Dispute | Settled | $80,000.00 | $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 |
| Scott Middleton Debandt | 1892267 | 4 | 10/28/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Robert Stephen Rich | 375448 | 2 | 10/20/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Collins Kinder | 1442891 | 3 | 09/29/2008 | Customer Dispute | Closed-No Action | $80,000.00 | $0.00 | See FINRA Report |
| Lon Eric Dircks | 4668629 | 1 | 05/09/2006 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| A C Brown | 2982569 | 2 | 03/09/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Larry David Little | 310906 | 1 | 12/16/2002 | Customer Dispute | Award / Judgment | $9,924.38 | $8,960.84 | See FINRA Report |