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 |
|---|---|---|---|---|---|---|---|---|
| Roger Martin Faulring | 727976 | 16 | 05/04/2006 | Customer Dispute | Settled | $211,685.00 | $0.00 | See FINRA Report |
| Shawn M Devillier | 1730798 | 7 | 04/20/2006 | Customer Dispute | Settled | $360,000.00 | $0.00 | See FINRA Report |
| Roger Martin Faulring | 727976 | 16 | 03/21/2006 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Roger Martin Faulring | 727976 | 16 | 03/06/2006 | Customer Dispute | Award / Judgment | $543,603.00 | $685,168.00 | See FINRA Report |
| Robert Malachy Cully | 1423747 | 7 | 03/01/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Malachy Cully | 1423747 | 7 | 02/23/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gene Randall Rhoades | 1939639 | 4 | 01/10/2006 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Roger Martin Faulring | 727976 | 16 | 01/06/2006 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Roger Martin Faulring | 727976 | 16 | 01/05/2006 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David William Frederick | 1075196 | 4 | 12/19/2005 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |