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 Lee Krumholz | 1977128 | 2 | 04/02/2024 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Paul Edward Drolson | 1012162 | 5 | 08/09/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Nathan Hale | 4340566 | 2 | 02/20/2019 | Customer Dispute | Settled | $12,113.10 | $0.00 | See FINRA Report |
| Scott Dale Elisha | 1826761 | 2 | 12/14/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Scott Allen Yi | 4983680 | 1 | 01/07/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Nathan Hale | 4340566 | 2 | 02/04/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Clay Worthington Kinnard | 6074654 | 1 | 11/04/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Lee Krumholz | 1977128 | 2 | 10/09/2007 | Customer Dispute | Settled | $160,750.00 | $0.00 | See FINRA Report |
| Paul Edward Drolson | 1012162 | 5 | 04/27/2007 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Paul Edward Drolson | 1012162 | 5 | 11/28/2006 | Customer Dispute | Award / Judgment | $250,000.00 | $175,000.00 | See FINRA Report |