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 Leonard Gorman | 2817676 | 2 | 04/15/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas Tilden Drew | 2774394 | 11 | 06/27/2012 | Customer Dispute | Settled | $9,331.64 | $0.00 | See FINRA Report |
| Nicholas Tilden Drew | 2774394 | 11 | 03/03/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas Tilden Drew | 2774394 | 11 | 02/22/2012 | Customer Dispute | Settled | $22,030.00 | $0.00 | See FINRA Report |
| Thomas Lynn McGuire | 4371219 | 2 | 10/12/2010 | Customer Dispute | Settled | $58,838.80 | $0.00 | See FINRA Report |
| Thomas Lynn McGuire | 4371219 | 2 | 01/29/2010 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| James Lewis Fulton | 710326 | 8 | 04/07/2003 | Customer Dispute | Pending | $8,604.47 | $0.00 | See FINRA Report |
| James Lewis Fulton | 710326 | 8 | 04/21/1998 | Customer Dispute | Withdrawn | $13,000.00 | $0.00 | See FINRA Report |
| James Lewis Fulton | 710326 | 8 | 03/24/1997 | Customer Dispute | Settled | $139,895.00 | $0.00 | See FINRA Report |
| James Lewis Fulton | 710326 | 8 | 11/01/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |