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 |
|---|---|---|---|---|---|---|---|---|
| John Harrison Graves | 1427158 | 2 | 07/18/2011 | Customer Dispute | Settled | $86,795.20 | $0.00 | See FINRA Report |
| Barbara Gail Clare | 1370447 | 1 | 07/08/2011 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Phillip Oxford Sherrill | 1160379 | 7 | 05/02/2011 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Andi Yung Hee Kang | 2146134 | 4 | 04/14/2011 | Customer Dispute | Settled | $1,318,000.00 | $0.00 | See FINRA Report |
| Barry Robert Shevlin | 1280154 | 3 | 04/12/2011 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Gregory Wayne Piehl | 1956265 | 2 | 02/09/2011 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Eric Edward Wegner | 2044977 | 3 | 01/10/2011 | Customer Dispute | Settled | $808,699.00 | $0.00 | See FINRA Report |
| Andi Yung Hee Kang | 2146134 | 4 | 12/13/2010 | Customer Dispute | Settled | $108,000.00 | $0.00 | See FINRA Report |
| Peter Richard Hall | 1323455 | 1 | 10/06/2010 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Barry Robert Shevlin | 1280154 | 3 | 09/21/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |