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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Alvah Cowen | 1964738 | 1 | 06/18/2019 | Customer Dispute | Settled | $0.00 | $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 | 12/08/2003 | Customer Dispute | Settled | $21,848.00 | $0.00 | See FINRA Report |
| Kendrick Vern Herring | 1639641 | 1 | 10/17/2002 | Customer Dispute | Settled | $68,881.00 | $0.00 | See FINRA Report |
| Kerry Constantine Geaneas | 2391503 | 5 | 03/12/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| James Robert Combs | 3002167 | 1 | 10/15/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kerry Constantine Geaneas | 2391503 | 5 | 06/18/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Bunyon Glover | 1628301 | 3 | 09/30/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Bunyon Glover | 1628301 | 3 | 04/09/1996 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |