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 Shawn Hyatt | 2651738 | 3 | 03/21/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stuart Alan Epley | 3104478 | 4 | 12/03/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Edward Urban | 3238095 | 2 | 02/14/2013 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Craig Allen Johnson | 1964332 | 1 | 05/15/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stuart Alan Epley | 3104478 | 4 | 05/02/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paul Alan Knier | 2219997 | 2 | 08/08/2011 | Customer Dispute | Settled | $211,962.00 | $0.00 | See FINRA Report |
| Stuart Alan Epley | 3104478 | 4 | 07/20/2011 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Mitchell L Ray | 4193174 | 1 | 06/06/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Scott Quentin Brodeen | 4568420 | 1 | 02/13/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis Dale Mesward | 2747954 | 1 | 01/27/2010 | Customer Dispute | Withdrawn | $60,000.00 | $0.00 | See FINRA Report |