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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Nelson Wiseman | 1621758 | 2 | 09/17/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Mitchel Marshburn | 2239917 | 4 | 04/05/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Daniel Sayles | 4140191 | 1 | 01/21/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Carroll Talbert | 5524603 | 2 | 05/25/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Mitchel Marshburn | 2239917 | 4 | 01/20/2011 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Stephen Maynard Alinikoff | 1022014 | 4 | 09/29/2010 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Samuel Carroll Talbert | 5524603 | 2 | 07/29/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Edward Kuzma | 1066138 | 2 | 06/14/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Mitchel Marshburn | 2239917 | 4 | 04/09/2007 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Thomas Mitchel Marshburn | 2239917 | 4 | 09/05/2006 | Customer Dispute | Settled | $9,293.87 | $0.00 | See FINRA Report |