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 |
|---|---|---|---|---|---|---|---|---|
| Sidney Joseph Dufresne | 2471091 | 3 | 08/15/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Peter Brick | 2842477 | 1 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Umbaugh | 4299073 | 3 | 11/18/2015 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Russell L Thompson | 6610312 | 3 | 07/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lloyd Gibbens | 1482752 | 5 | 12/23/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sanjay Bhargava | 4495397 | 5 | 11/04/2014 | Customer Dispute | Award / Judgment | $50,000.00 | $32,606.90 | See FINRA Report |
| Terry Dean Hollar | 1584024 | 4 | 08/23/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Lloyd Gibbens | 1482752 | 5 | 08/03/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Lloyd Gibbens | 1482752 | 5 | 07/24/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Lloyd Gibbens | 1482752 | 5 | 07/20/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |