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 |
|---|---|---|---|---|---|---|---|---|
| Russell Edwin Herman | 243857 | 2 | 07/08/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| George Edward Thiergartner | 1123867 | 4 | 03/31/2015 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Andrew H Bloom | 4387784 | 2 | 11/19/2014 | Customer Dispute | Settled | $26,685.00 | $0.00 | See FINRA Report |
| Robert Allan Mann | 2847134 | 3 | 10/08/2014 | Customer Dispute | Settled | $29,000.00 | $0.00 | See FINRA Report |
| Shawn M Devillier | 1730798 | 7 | 07/11/2014 | Customer Dispute | Settled | $51,000.00 | $0.00 | See FINRA Report |
| Gene Randall Rhoades | 1939639 | 4 | 08/02/2012 | Customer Dispute | Settled | $12,793.80 | $0.00 | See FINRA Report |
| Michael Patrick McCall | 2354208 | 3 | 05/01/2012 | Customer Dispute | Settled | $104,337.00 | $0.00 | See FINRA Report |
| Neil Scott Meissner | 1942821 | 4 | 09/16/2011 | Customer Dispute | Settled | $9,261.00 | $0.00 | See FINRA Report |
| Warren Amroy Scott | 1719999 | 2 | 07/15/2011 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Warren Amroy Scott | 1719999 | 2 | 02/23/2011 | Customer Dispute | Settled | $58,352.20 | $0.00 | See FINRA Report |