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 |
|---|---|---|---|---|---|---|---|---|
| David Jerome Ferneding | 2165740 | 1 | 03/01/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Breland Kelly | 2306054 | 6 | 12/16/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Dawn Smith | 3112353 | 1 | 10/19/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Breland Kelly | 2306054 | 6 | 01/12/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Breland Kelly | 2306054 | 6 | 02/24/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Michael Harley | 4193614 | 1 | 01/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marty Edward Paul | 2540039 | 4 | 01/13/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Lawrence Christie | 1286242 | 1 | 10/21/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marty Edward Paul | 2540039 | 4 | 04/20/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Chesley Sowell | 2131557 | 2 | 11/16/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |