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 |
|---|---|---|---|---|---|---|---|---|
| Gregory George Brown | 2137212 | 1 | 05/25/2023 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Michael Lloyd Gustafson | 2202450 | 1 | 03/21/2023 | Customer Dispute | Pending | $120,000.00 | $0.00 | See FINRA Report |
| Fredrick John Troendle | 2811870 | 1 | 12/23/2022 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Jeffrey A Thorup | 2163249 | 1 | 12/29/2020 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Michael James Hochstetler | 2673455 | 2 | 08/07/2015 | Customer Dispute | Denied | $37,943.00 | $0.00 | See FINRA Report |
| Paul Andrew Schmidt | 2703069 | 2 | 03/27/2014 | Customer Dispute | Award / Judgment | $660,000.00 | $0.00 | See FINRA Report |
| Barbara Jean Hedblom | 1737649 | 2 | 02/11/2014 | Customer Dispute | Denied | $8,035.67 | $0.00 | See FINRA Report |
| Paul Andrew Schmidt | 2703069 | 2 | 08/10/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tracey Marie Simonson | 1849487 | 1 | 11/23/2009 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Chad David Steeves | 1904811 | 1 | 07/07/2008 | Customer Dispute | Settled | $31,069.00 | $0.00 | See FINRA Report |