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 Cummings Donaldson | 1155413 | 2 | 07/30/2015 | Customer Dispute | Settled | $8,746.14 | $0.00 | See FINRA Report |
| David Francis Lamay | 2198416 | 1 | 11/28/2011 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Kevin Joseph Nolan | 2637999 | 2 | 07/25/2011 | Customer Dispute | Settled | $110,697.00 | $0.00 | See FINRA Report |
| Stephen Worth Bates | 2373075 | 1 | 03/11/2009 | Customer Dispute | Settled | $139,735.00 | $0.00 | See FINRA Report |
| Kevin Joseph Nolan | 2637999 | 2 | 04/16/2008 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Nauman Karim Rana | 3077055 | 1 | 07/30/2007 | Customer Dispute | Settled | $33,000.00 | $0.00 | See FINRA Report |