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 |
|---|---|---|---|---|---|---|---|---|
| Mark David Aigner | 2645924 | 3 | 04/23/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gene Alvin Brehm | 2815437 | 1 | 10/22/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Virginia Frances Thompson | 1834046 | 3 | 08/19/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Virginia Frances Thompson | 1834046 | 3 | 08/05/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary L Shumate | 4520199 | 1 | 08/12/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark David Aigner | 2645924 | 3 | 12/07/2007 | Customer Dispute | Closed-No Action | $44,000.00 | $0.00 | See FINRA Report |
| Mark David Aigner | 2645924 | 3 | 04/25/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Alan Lesnikowski | 1530281 | 4 | 04/30/2004 | Customer Dispute | Denied | $104,040.00 | $0.00 | See FINRA Report |
| Matthew Alan Lesnikowski | 1530281 | 4 | 04/23/2004 | Customer Dispute | Denied | $93,000.00 | $0.00 | See FINRA Report |
| Matthew Alan Lesnikowski | 1530281 | 4 | 11/20/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |