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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Douglas Eugene Henke | 3099965 | 1 | 04/06/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph O'Connell | 1686988 | 2 | 02/12/2009 | Customer Dispute | Denied | $81,232.00 | $0.00 | See FINRA Report |