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 |
|---|---|---|---|---|---|---|---|---|
| Sean David Patrick | 2449466 | 1 | 05/04/2017 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Kevin F Hughes | 6872422 | 1 | 05/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Lebauer | 2156800 | 16 | 05/01/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Erin J Tomlinson | 1647608 | 1 | 04/17/2017 | Customer Dispute | Denied | $85,294.80 | $0.00 | See FINRA Report |
| Donald Christopher Megliola | 3011458 | 3 | 04/11/2017 | Customer Dispute | Settled | $189,000.00 | $0.00 | See FINRA Report |
| Melody Vuicich Kump | 1709383 | 1 | 04/04/2017 | Customer Dispute | Settled | $24,134.00 | $0.00 | See FINRA Report |
| Stephen Douglas Lucas | 2242815 | 9 | 04/03/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael James McNeely | 2951584 | 1 | 03/30/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Allen Saddler | 2490749 | 8 | 03/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gavin Jones | 6243918 | 2 | 03/27/2017 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |