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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Douglas Thomas | 2737704 | 1 | 09/02/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lois E Gough Lopez | 3090515 | 2 | 03/24/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Terrence Robert Fergen | 4725641 | 2 | 06/17/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Terrence Robert Fergen | 4725641 | 2 | 05/26/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |