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 |
|---|---|---|---|---|---|---|---|---|
| Michael Victor Young | 3242751 | 1 | 02/15/2024 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Craig Alan Rottman | 4647293 | 1 | 02/12/2024 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Douglas Gene Schmitz | 1771132 | 6 | 02/12/2024 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Douglas Gene Schmitz | 1771132 | 6 | 05/04/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Gene Schmitz | 1771132 | 6 | 08/04/2020 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Douglas Gene Schmitz | 1771132 | 6 | 07/24/2020 | Customer Dispute | Closed-No Action | $5,200.00 | $0.00 | See FINRA Report |
| Douglas Gene Schmitz | 1771132 | 6 | 04/29/2020 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Douglas Gene Schmitz | 1771132 | 6 | 09/16/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |