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 |
|---|---|---|---|---|---|---|---|---|
| Randy R Moorehead | 4401484 | 1 | 10/19/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Alvah Cowen | 1964738 | 1 | 06/18/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stefan Marchut Lavallee | 3162652 | 5 | 03/21/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Joseph Devlin | 3074341 | 1 | 03/21/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gary Walter Schmidt | 5299312 | 1 | 09/20/2010 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Christopher Lee Facka | 2706401 | 1 | 09/16/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| John Brian Worthy | 2116793 | 3 | 12/28/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Brian Worthy | 2116793 | 3 | 12/05/2006 | Customer Dispute | Denied | $2,000.00 | $0.00 | See FINRA Report |
| John Brian Worthy | 2116793 | 3 | 12/08/2003 | Customer Dispute | Settled | $21,848.00 | $0.00 | See FINRA Report |
| Christopher Mark Scout | 2412842 | 2 | 05/07/2003 | Customer Dispute | Closed-No Action | $10,946.20 | $0.00 | See FINRA Report |