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 |
|---|---|---|---|---|---|---|---|---|
| Sanjay Bhargava | 4495397 | 5 | 08/08/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Matthew Scott Schiller | 5973737 | 1 | 08/08/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Donald Nate Carlson | 2903454 | 1 | 08/08/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Alfred Lee Dingler | 2482659 | 1 | 05/26/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shawn Christian Everett | 4653270 | 2 | 09/16/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Russell L Thompson | 6610312 | 3 | 08/12/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Russell L Thompson | 6610312 | 3 | 10/19/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Drake Abrams | 2829747 | 1 | 08/07/2020 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Shawn Christian Everett | 4653270 | 2 | 10/29/2019 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Umbaugh | 4299073 | 3 | 11/18/2015 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |