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 |
|---|---|---|---|---|---|---|---|---|
| Steven Horn | 2579003 | 2 | 09/30/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lloyd Thomas Layton | 1618414 | 3 | 08/13/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dan Holzer | 5779187 | 2 | 09/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Edward van Meter | 4557517 | 3 | 08/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donald Lee Wells | 1217316 | 3 | 03/07/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dan Holzer | 5779187 | 2 | 11/09/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCrory | 705683 | 6 | 07/01/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |