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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Kenneth Pennington | 2812020 | 1 | 09/07/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| August Paul Bugge | 4601943 | 1 | 05/19/2017 | Customer Dispute | Settled | $10,002.40 | $0.00 | See FINRA Report |
| Sean David Patrick | 2449466 | 1 | 05/04/2017 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Donald Christopher Megliola | 3011458 | 3 | 04/11/2017 | Customer Dispute | Settled | $189,000.00 | $0.00 | See FINRA Report |
| Melody Vuicich Kump | 1709383 | 1 | 04/04/2017 | Customer Dispute | Settled | $24,134.00 | $0.00 | See FINRA Report |
| Gavin Jones | 6243918 | 2 | 03/27/2017 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| Stephanie Devan Abee | 5888654 | 2 | 01/09/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Duane J Haley | 5409368 | 4 | 11/28/2016 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Terrence Andrew Taylor | 3275268 | 1 | 02/17/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Karlsberg | 6107642 | 2 | 02/11/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |