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 |
|---|---|---|---|---|---|---|---|---|
| Louis James MacLoskey | 316342 | 1 | 09/28/1988 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| David Alan Farbman | 603433 | 1 | 07/29/1988 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |
| Douglas Hammond Lemon | 802386 | 2 | 06/01/1988 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Robert Slade Miller | 3200739 | 3 | 09/01/1987 | Customer Dispute | Settled | $210,000.00 | $0.00 | See FINRA Report |
| James Dana Miller | 1141401 | 4 | 01/01/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ellis Eugene Grossnickle | 1283246 | 3 | 09/01/1983 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |