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 |
|---|---|---|---|---|---|---|---|---|
| Eric Garrard Nordberg | 2056510 | 1 | 05/21/2020 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Michael Thomas Fidler | 2512493 | 3 | 05/31/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Keith Hays | 2434893 | 6 | 04/08/2014 | Customer Dispute | Settled | $330,000.00 | $0.00 | See FINRA Report |
| David Keith Hays | 2434893 | 6 | 12/06/2013 | Customer Dispute | Denied | $249,193.00 | $0.00 | See FINRA Report |
| David Keith Hays | 2434893 | 6 | 10/08/2013 | Customer Dispute | Denied | $92,000.00 | $0.00 | See FINRA Report |
| David Keith Hays | 2434893 | 6 | 04/09/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Keith Hays | 2434893 | 6 | 01/22/2013 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Michael Thomas Fidler | 2512493 | 3 | 03/23/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas B Hughes | 4028855 | 1 | 03/21/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Fidler | 2512493 | 3 | 09/14/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |