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 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 |
| Robert Stephen Rich | 375448 | 2 | 10/20/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Earl Faulkner | 849152 | 4 | 02/28/2000 | Customer Dispute | Settled | $131,933.00 | $0.00 | See FINRA Report |
| John Joseph Graves | 715944 | 5 | 05/23/1995 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| John Joseph Graves | 715944 | 5 | 01/10/1995 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| John Joseph Graves | 715944 | 5 | 10/21/1993 | Customer Dispute | Settled | $20,554.00 | $0.00 | See FINRA Report |
| John Joseph Graves | 715944 | 5 | 10/21/1993 | Customer Dispute | Settled | $9,932.00 | $0.00 | See FINRA Report |