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 |
|---|---|---|---|---|---|---|---|---|
| Roy Neal | 1248515 | 5 | 08/31/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roy Neal | 1248515 | 5 | 02/01/2006 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Roy Neal | 1248515 | 5 | 09/14/2004 | Customer Dispute | Dismissed | $32,670.30 | $0.00 | See FINRA Report |
| Roy Neal | 1248515 | 5 | 10/01/1988 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roy Neal | 1248515 | 5 | 03/01/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |