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 |
|---|---|---|---|---|---|---|---|---|
| Mark Huber | 5976354 | 2 | 11/24/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 05/27/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| David Jon Zupek | 2250376 | 6 | 04/30/2020 | Customer Dispute | Settled | $145,715.00 | $0.00 | See FINRA Report |
| David Jon Zupek | 2250376 | 6 | 09/26/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Brent Wayne Lee | 5436195 | 1 | 01/07/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Eric Erickson | 4400791 | 3 | 12/31/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jasmine Christine Jordan | 6941621 | 3 | 06/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jasmine Christine Jordan | 6941621 | 3 | 06/02/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jasmine Christine Jordan | 6941621 | 3 | 06/02/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Gary Lane Glover | 1647229 | 7 | 05/29/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |