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 |
|---|---|---|---|---|---|---|---|---|
| Robert Charles Mrozek | 3193990 | 1 | 03/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Duane J Haley | 5409368 | 4 | 02/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Fair Paull | 2968273 | 11 | 01/31/2018 | Regulatory | Final | $0.00 | $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 |
| Mari Dawn Lloyd | 4001731 | 1 | 01/11/2018 | Customer Dispute | Denied | $49,869.00 | $0.00 | See FINRA Report |
| Kari Ann McLeod | 6359510 | 2 | 12/13/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dave Lee Morris | 6178873 | 2 | 12/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Jonathan Harris | 3198253 | 1 | 12/04/2017 | Judgment / Lien | $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 |