Our Staff has compiled our research into a database of FINRA Broker Disclosures for Harris Williams. 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 |
|---|---|---|---|---|---|---|---|---|
| Sarah Katharine Moss | 6715745 | 1 | 12/12/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Dawn Elizabeth Durrett | 6482610 | 2 | 10/28/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric N Zoller | 4795542 | 1 | 05/06/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dawn Elizabeth Durrett | 6482610 | 2 | 01/25/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elliott Ford Beaulieu | 5314742 | 1 | 08/03/2009 | Customer Dispute | Denied | $5,799.16 | $0.00 | See FINRA Report |
| Patrick Donald McNulty | 3256184 | 1 | 10/01/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Geoffrey W Smith | 4832840 | 1 | 09/14/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Turner Ashby Moncure Bredrup | 2037652 | 1 | 01/09/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |