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 |
|---|---|---|---|---|---|---|---|---|
| Carolyn Her Chi Sheu | 2784861 | 1 | 07/06/2009 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Jameson Alan van Houten | 2771800 | 2 | 02/26/2009 | Customer Dispute | Denied | $508,900.00 | $0.00 | See FINRA Report |
| Michael Roger Diephouse | 4457350 | 1 | 01/29/2009 | Customer Dispute | Denied | $65,543.20 | $0.00 | See FINRA Report |
| Samuel Dale Mitchell | 4412198 | 3 | 11/20/2007 | Customer Dispute | Denied | $19,580.20 | $0.00 | See FINRA Report |
| James Joel Ward | 2167948 | 1 | 09/18/2006 | Customer Dispute | Denied | $180,776.00 | $0.00 | See FINRA Report |
| Samuel Dale Mitchell | 4412198 | 3 | 10/28/2004 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Lewis Daniel Akers | 2883544 | 1 | 09/10/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Alan Massart | 2332208 | 1 | 05/21/2001 | Customer Dispute | Denied | $5,791.00 | $0.00 | See FINRA Report |