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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer Diane Lander | 6321163 | 2 | 01/18/2024 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Thomas Caine Shultz | 5614228 | 3 | 04/05/2023 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| James Edward van Meter | 4557517 | 3 | 06/29/2022 | Customer Dispute | Settled | $349,483.00 | $0.00 | See FINRA Report |
| Thomas Caine Shultz | 5614228 | 3 | 05/23/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald Lee Wells | 1217316 | 3 | 03/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Thomas Enstice | 502060 | 2 | 12/13/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bobby Kyle Cowand | 2317710 | 5 | 01/28/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Caine Shultz | 5614228 | 3 | 07/10/2012 | Customer Dispute | Settled | $8,017.05 | $0.00 | See FINRA Report |
| John Eli Frick | 2967029 | 5 | 08/09/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Francis McCrory | 705683 | 6 | 01/25/2011 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |