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 |
|---|---|---|---|---|---|---|---|---|
| Adam Mario Miller | 6977763 | 3 | 11/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Duane J Haley | 5409368 | 4 | 11/28/2016 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Dennis Charles Clark | 1057589 | 3 | 11/14/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Christopher Smith | 3132841 | 2 | 11/07/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin S Hughes | 5833367 | 2 | 11/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexandria Strawn | 6748480 | 1 | 11/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Martin Fry | 2273812 | 1 | 10/25/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gary Lynn Teston | 4434725 | 4 | 09/23/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Paul Councill | 1057818 | 1 | 09/09/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Paul Feldstein | 4843008 | 2 | 09/09/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |