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 |
|---|---|---|---|---|---|---|---|---|
| Reginald Kyle Graham | 7264463 | 4 | 05/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas C Block | 4495267 | 1 | 04/21/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Phillip Harrison Carrell | 6084092 | 1 | 04/15/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin S Hughes | 5833367 | 2 | 04/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas David Pugh | 6602976 | 1 | 03/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent John Klein | 6405729 | 5 | 03/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent John Klein | 6405729 | 5 | 03/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent John Klein | 6405729 | 5 | 03/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jesse James Travis | 5898507 | 1 | 02/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Terrence Andrew Taylor | 3275268 | 1 | 02/17/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |