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 Eric Erickson | 4400791 | 3 | 06/11/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Jon Zupek | 2250376 | 6 | 10/08/2008 | Customer Dispute | Settled | $43,000.00 | $0.00 | See FINRA Report |
| Delmar Vernice McKinney | 1186853 | 8 | 07/14/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Alan Neil Lichtenstein | 1877017 | 2 | 05/09/2008 | Customer Dispute | Pending | $125,000.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 03/11/2005 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| Delmar Vernice McKinney | 1186853 | 8 | 09/08/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Jon Zupek | 2250376 | 6 | 02/17/2004 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Delmar Vernice McKinney | 1186853 | 8 | 08/12/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 05/22/2003 | Customer Dispute | Award / Judgment | $400,000.00 | $206,875.00 | See FINRA Report |
| Delmar Vernice McKinney | 1186853 | 8 | 12/19/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |