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 |
|---|---|---|---|---|---|---|---|---|
| Kyla Michael McMoran | 7300615 | 2 | 01/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyla Michael McMoran | 7300615 | 2 | 12/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Lane Glover | 1647229 | 7 | 10/31/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Patrick Maher | 4641855 | 2 | 10/25/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Timothy Dunn | 1075960 | 4 | 03/31/2016 | Customer Dispute | Settled | $452,388.00 | $0.00 | See FINRA Report |
| James Rainwater | 7210755 | 4 | 02/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Rainwater | 7210755 | 4 | 02/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Lane Glover | 1647229 | 7 | 08/12/2015 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| James Rainwater | 7210755 | 4 | 08/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lauri Ranae Grovich | 2415173 | 3 | 04/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |