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 |
|---|---|---|---|---|---|---|---|---|
| James David Dingle | 1833578 | 6 | 12/06/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Bryce Vanclef | 5096529 | 9 | 06/27/2012 | Customer Dispute | Settled | $32,547.00 | $0.00 | See FINRA Report |
| James David Dingle | 1833578 | 6 | 09/29/2010 | Customer Dispute | Settled | $24,300.00 | $0.00 | See FINRA Report |
| James David Dingle | 1833578 | 6 | 08/13/2010 | Customer Dispute | Settled | $24,300.00 | $0.00 | See FINRA Report |
| Benjamin R Pfiffner | 5420001 | 2 | 07/01/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Bryce Vanclef | 5096529 | 9 | 11/10/2009 | Customer Dispute | Settled | $12,500.00 | $0.00 | See FINRA Report |
| James David Dingle | 1833578 | 6 | 04/26/2002 | Customer Dispute | Settled | $167,222.00 | $0.00 | See FINRA Report |
| Daniel Patrick O'Halloran | 1391521 | 1 | 09/05/2000 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James Leslie Clarren | 2324494 | 1 | 06/27/2000 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Wendell Cory Franklin | 2484466 | 1 | 10/04/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |