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 |
|---|---|---|---|---|---|---|---|---|
| Vincent John Klein | 6405729 | 5 | 02/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent John Klein | 6405729 | 5 | 02/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Karlsberg | 6107642 | 2 | 02/11/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Winston W Malone | 5005102 | 2 | 02/11/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Dana Miller | 1141401 | 4 | 02/09/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Dana Miller | 1141401 | 4 | 02/09/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Paul Feldstein | 4843008 | 2 | 01/17/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Fair Paull | 2968273 | 11 | 12/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Allen Saddler | 2490749 | 8 | 11/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carter James Cowan | 4900948 | 1 | 11/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |