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 |
|---|---|---|---|---|---|---|---|---|
| Michael Anthony Smith | 3128757 | 2 | 02/07/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Smith | 3128757 | 2 | 09/24/2018 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Joshua William Patterson | 3077302 | 3 | 04/07/2017 | Customer Dispute | Withdrawn | $1,233,800.00 | $0.00 | See FINRA Report |
| Joshua William Patterson | 3077302 | 3 | 11/10/2016 | Customer Dispute | Withdrawn | $100,000.00 | $0.00 | See FINRA Report |
| Joshua William Patterson | 3077302 | 3 | 06/16/2016 | Customer Dispute | Award / Judgment | $3,256,500.00 | $0.00 | See FINRA Report |
| Preston William Snow | 4600344 | 1 | 07/12/2013 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Bradley Trent Covey | 2758177 | 3 | 05/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradley Trent Covey | 2758177 | 3 | 04/04/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Luke Patterson | 2702156 | 1 | 12/01/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Karl Eugene Krueger | 2566787 | 1 | 06/03/2004 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |