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 |
|---|---|---|---|---|---|---|---|---|
| Phillip Lloyd Smelser | 2338831 | 2 | 01/14/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Garry Charles Hill | 2442412 | 2 | 11/08/2018 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Lisa Marie Nesser | 1535393 | 1 | 10/09/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kimberly Kay Kendrot | 2298796 | 4 | 09/17/2018 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Eric V Sechman | 5237126 | 1 | 08/22/2018 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| John Lino Grillo | 2643787 | 3 | 06/22/2018 | Customer Dispute | Settled | $447,000.00 | $0.00 | See FINRA Report |
| Michael R Curley | 1789723 | 1 | 06/21/2018 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Jeffrey John McCue | 2365427 | 1 | 01/26/2018 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Peter H Gaunt | 5470915 | 1 | 01/26/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephanie Devan Abee | 5888654 | 2 | 11/28/2017 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |