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 |
|---|---|---|---|---|---|---|---|---|
| W Stephen Jones | 867147 | 3 | 02/29/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Brian C Kennedy | 2321416 | 9 | 02/22/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Bradley David Fath | 2632194 | 1 | 02/22/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Harold Patrick Hellen | 4495110 | 1 | 04/16/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Matthew Steven Trefethen | 5210128 | 1 | 04/11/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Michael Na Lynn | 2403227 | 1 | 03/10/2017 | Customer Dispute | Withdrawn | $9,000.00 | $0.00 | See FINRA Report |
| Lori A Ripperger | 4500760 | 1 | 09/08/2015 | Customer Dispute | Withdrawn | $9,150.00 | $0.00 | See FINRA Report |
| Donald Christopher Megliola | 3011458 | 3 | 03/02/2015 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Donald Morris Kowalsky | 274546 | 4 | 07/25/2014 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Arthur Floyd Hazen | 4503065 | 1 | 06/13/2013 | Customer Dispute | Withdrawn | $200,000.00 | $0.00 | See FINRA Report |