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 |
|---|---|---|---|---|---|---|---|---|
| Chad Michael Rogers | 4029698 | 5 | 08/08/2024 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Mark Nelson Holloway | 1342511 | 5 | 03/21/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chad Michael Rogers | 4029698 | 5 | 02/22/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Chad Michael Rogers | 4029698 | 5 | 09/15/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Nelson Holloway | 1342511 | 5 | 09/15/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chad Michael Rogers | 4029698 | 5 | 09/14/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Nelson Holloway | 1342511 | 5 | 06/22/2017 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Mark Nelson Holloway | 1342511 | 5 | 02/23/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Mark Nelson Holloway | 1342511 | 5 | 01/03/2017 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Chad Michael Rogers | 4029698 | 5 | 09/28/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |