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 |
|---|---|---|---|---|---|---|---|---|
| Troy Thomas | 4691720 | 3 | 01/17/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Alan Horning | 2311640 | 6 | 01/08/2021 | Customer Dispute | Denied | $850,000.00 | $0.00 | See FINRA Report |
| Robert Alan Horning | 2311640 | 6 | 05/17/2013 | Customer Dispute | Settled | $875,812.00 | $0.00 | See FINRA Report |
| Robert Alan Horning | 2311640 | 6 | 08/09/2011 | Customer Dispute | Settled | $687,500.00 | $0.00 | See FINRA Report |
| Troy Thomas | 4691720 | 3 | 10/29/2010 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Troy Thomas | 4691720 | 3 | 08/23/2010 | Customer Dispute | Settled | $387,500.00 | $0.00 | See FINRA Report |
| Robert Alan Horning | 2311640 | 6 | 05/06/2010 | Customer Dispute | Settled | $344,000.00 | $0.00 | See FINRA Report |
| Robert Alan Horning | 2311640 | 6 | 01/12/2010 | Customer Dispute | Settled | $762,500.00 | $0.00 | See FINRA Report |
| Robert Alan Horning | 2311640 | 6 | 12/30/2009 | Customer Dispute | Settled | $762,500.00 | $0.00 | See FINRA Report |