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 |
|---|---|---|---|---|---|---|---|---|
| Cara Michelle Miller | 4521819 | 6 | 08/19/2024 | Customer Dispute | Pending | $950,000.00 | $0.00 | See FINRA Report |
| Robert Dewell Anderson | 5340479 | 1 | 06/06/2024 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Cara Michelle Miller | 4521819 | 6 | 05/14/2024 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Cara Michelle Miller | 4521819 | 6 | 03/28/2024 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| James Paul Siemonsma | 2172228 | 2 | 02/20/2024 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Adam Randall Kotz | 6286443 | 1 | 01/12/2024 | Customer Dispute | Pending | $4,000,000.00 | $0.00 | See FINRA Report |
| Joshua Luke Kendall | 6244923 | 1 | 07/14/2023 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Cara Michelle Miller | 4521819 | 6 | 05/03/2023 | Customer Dispute | Settled | $590,000.00 | $0.00 | See FINRA Report |
| Marc Lee Russell | 5020992 | 1 | 12/16/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Patrick Keen | 6585665 | 1 | 10/26/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |