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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Thomas McGinn | 1982380 | 2 | 03/27/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Vinton Dixon Hartmann | 2686726 | 1 | 03/12/2012 | Customer Dispute | Settled | $164,000.00 | $0.00 | See FINRA Report |
| Donald Leonhard Hartmann | 1003231 | 4 | 03/12/2012 | Customer Dispute | Settled | $164,000.00 | $0.00 | See FINRA Report |
| Isaac Sidney Greene | 5056183 | 1 | 02/27/2012 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Joseph R Topolski | 4881655 | 3 | 01/31/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Hill | 2432123 | 2 | 01/19/2012 | Customer Dispute | Settled | $208,815.00 | $0.00 | See FINRA Report |
| Peter Hill | 2432123 | 2 | 01/11/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rebecca Dawn Turner | 1982423 | 2 | 10/05/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Phillip Oxford Sherrill | 1160379 | 7 | 08/24/2011 | Customer Dispute | Settled | $29,156.00 | $0.00 | See FINRA Report |
| Jerry Hugh Crockett | 2167486 | 2 | 08/01/2011 | Customer Dispute | Settled | $49,999.00 | $0.00 | See FINRA Report |