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 I Balaban | 1380366 | 1 | 08/09/2001 | Customer Dispute | Denied | $6,810.00 | $0.00 | See FINRA Report |
| John Timothy Ross | 1045479 | 1 | 02/19/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Kenneth Charley | 6457442 | 1 | 08/01/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 10/05/1994 | Customer Dispute | Award / Judgment | $25,000.00 | $7,000.00 | See FINRA Report |
| Delmar Vernice McKinney | 1186853 | 8 | 04/06/1994 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Thomas Book Jahncke | 1078444 | 1 | 03/15/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Aubrey Morrow | 836500 | 15 | 09/01/1988 | Customer Dispute | Settled | $35,537.00 | $0.00 | See FINRA Report |
| John G Chess | 4812430 | 4 | 12/09/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank Timothy Dunn | 1075960 | 4 | 07/14/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lauri Ranae Grovich | 2415173 | 3 | 10/05/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |