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 |
|---|---|---|---|---|---|---|---|---|
| William Naylor Stant | 2784785 | 1 | 11/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Allen Saddler | 2490749 | 8 | 11/20/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheryl Ann McGown | 3011410 | 1 | 11/15/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy J Moore | 1044325 | 3 | 11/13/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Elliott Dunlap | 4794991 | 1 | 11/13/2017 | Customer Dispute | Denied | $75,796.00 | $0.00 | See FINRA Report |
| Todd Thomas Rohrer | 2140603 | 5 | 11/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Ernest Joly | 2193463 | 8 | 09/22/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Adam Mario Miller | 6977763 | 3 | 09/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David A Kemper | 5043090 | 1 | 09/20/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel F Girard | 4242255 | 1 | 09/19/2017 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |