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 |
|---|---|---|---|---|---|---|---|---|
| William Aubrey Morrow | 836500 | 15 | 02/18/2015 | Customer Dispute | Settled | $730,000.00 | $0.00 | See FINRA Report |
| James Rainwater | 7210755 | 4 | 12/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Eric Erickson | 4400791 | 3 | 09/22/2014 | Customer Dispute | Closed-No Action | $400,000.00 | $0.00 | See FINRA Report |
| Gary Lane Glover | 1647229 | 7 | 09/09/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John G Chess | 4812430 | 4 | 06/12/2014 | Customer Dispute | Settled | $1,361,800.00 | $0.00 | See FINRA Report |
| David Jon Zupek | 2250376 | 6 | 03/19/2014 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| John G Chess | 4812430 | 4 | 08/14/2013 | Customer Dispute | Settled | $2,600,000.00 | $0.00 | See FINRA Report |
| Frank Timothy Dunn | 1075960 | 4 | 12/10/2012 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 11/05/2012 | Customer Dispute | Settled | $1,452,660.00 | $0.00 | See FINRA Report |
| Peter Jacob Amrein | 6500740 | 1 | 08/19/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |