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 | 04/25/2005 | Customer Dispute | Settled | $135,800.00 | $0.00 | See FINRA Report |
| Kenneth Joseph Gilmore | 1047301 | 2 | 04/11/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Martin Faulring | 727976 | 16 | 03/24/2005 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| David William Frederick | 1075196 | 4 | 03/07/2005 | Customer Dispute | Closed-No Action | $49,875.00 | $0.00 | See FINRA Report |
| Gene Randall Rhoades | 1939639 | 4 | 08/17/2004 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Thomas Lee Udelson | 1254444 | 1 | 08/02/2004 | Customer Dispute | Withdrawn | $9,004.00 | $0.00 | See FINRA Report |
| Shawn M Devillier | 1730798 | 7 | 08/02/2004 | Customer Dispute | Denied | $130,000.00 | $0.00 | See FINRA Report |
| Robert Mortimer | 824783 | 1 | 06/09/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Richard Zanone | 2135221 | 1 | 05/14/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Christopher Rolla | 2515481 | 2 | 05/14/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |