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 |
|---|---|---|---|---|---|---|---|---|
| Robert Ronald Courser | 2552567 | 1 | 08/18/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Miles Wesley Costin | 6644569 | 1 | 06/25/2021 | Customer Dispute | Settled | $177,534.00 | $0.00 | See FINRA Report |
| David Charles Hill | 818407 | 4 | 11/03/2017 | Customer Dispute | Settled | $40,046.40 | $0.00 | See FINRA Report |
| James Phillip Winther | 3188240 | 2 | 01/13/2016 | Customer Dispute | Settled | $340,664.00 | $0.00 | See FINRA Report |
| Donald James Traugott | 2498058 | 6 | 05/01/2015 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Daniel James Gunderson | 2672397 | 3 | 10/27/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carl Monroe Mook | 2440514 | 2 | 09/17/2013 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Bart Andrew Newman | 5296778 | 2 | 08/01/2012 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Douglas Eugene Henke | 3099965 | 1 | 04/06/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher John Veal | 2707587 | 1 | 01/18/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |