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 |
|---|---|---|---|---|---|---|---|---|
| Brian Keith Jones | 4203098 | 1 | 03/27/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Zachary Allen Shepard | 6399643 | 1 | 03/21/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian C Kennedy | 2321416 | 9 | 03/07/2024 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| W Stephen Jones | 867147 | 3 | 02/29/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David Lloyd Kaiser | 2461995 | 1 | 02/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Stevan Josef Hoffman | 4552883 | 1 | 02/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Phillip Oxford Sherrill | 1160379 | 7 | 02/22/2024 | Customer Dispute | Pending | $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| Brian C Kennedy | 2321416 | 9 | 02/22/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Kurt Douglas Cambier | 1392482 | 3 | 02/22/2024 | Customer Dispute | Pending | $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| Bradley David Fath | 2632194 | 1 | 02/22/2024 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |