Our Staff has compiled our research into a database of FINRA Broker Disclosures for Profor Advisors. 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 |
|---|---|---|---|---|---|---|---|---|
| Martin Joseph Burke | 6257202 | 1 | 12/05/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dainforth Baker French | 2406891 | 4 | 04/30/2018 | Customer Dispute | Settled | $590,780.00 | $0.00 | See FINRA Report |
| Dainforth Baker French | 2406891 | 4 | 06/26/2015 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Dainforth Baker French | 2406891 | 4 | 09/18/2012 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Dainforth Baker French | 2406891 | 4 | 07/09/2012 | Customer Dispute | Closed-No Action | $700,000.00 | $0.00 | See FINRA Report |
| Edwin Rutherford Sutphin | 1032874 | 2 | 10/19/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edwin Rutherford Sutphin | 1032874 | 2 | 08/01/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Martin Jay Pollock | 1067521 | 2 | 07/28/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Martin Jay Pollock | 1067521 | 2 | 06/10/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Dennis Brower | 4347915 | 1 | 09/02/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |