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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Vail Owens | 1680140 | 1 | 04/17/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Thomas Francis Shay | 857957 | 2 | 04/17/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nestor Ruben Montoya | 3046697 | 1 | 04/16/2020 | Customer Dispute | Closed-No Action | $24,000.00 | $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| Harold Patrick Hellen | 4495110 | 1 | 04/16/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Matthew Steven Trefethen | 5210128 | 1 | 04/11/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |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 Brian Mills | 4615851 | 1 | 03/26/2020 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Rickey Bowen | 2837377 | 4 | 03/18/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Winston W Malone | 5005102 | 2 | 03/05/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sagar Ramesh Patel | 5058797 | 5 | 02/28/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Aaron Frye | 2834795 | 9 | 02/27/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |