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 |
|---|---|---|---|---|---|---|---|---|
| Kent Reaves Herring | 5417262 | 2 | 03/02/2023 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| Michael Houston Gross | 2941586 | 1 | 02/15/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lynn Coleman | 2516592 | 4 | 02/14/2023 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Esperanza Padilla Gomez | 1386295 | 6 | 02/10/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Ernest Joly | 2193463 | 8 | 02/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Ernest Joly | 2193463 | 8 | 02/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Aloysius Locke | 1980843 | 9 | 01/25/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Lee Layland | 4799825 | 2 | 01/25/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jennifer E Ritter | 6166798 | 1 | 01/04/2023 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| John Hughes Campbell | 2238694 | 1 | 12/28/2022 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |