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 |
|---|---|---|---|---|---|---|---|---|
| Alan Bradley Schmidt | 6432350 | 1 | 03/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Soo Loquet | 3021480 | 1 | 02/07/2013 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Don Bruner Stephenson | 3118775 | 1 | 10/30/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Benjamin Warren Rucker | 406697 | 1 | 04/13/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Brooks | 1920936 | 1 | 03/25/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |