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 |
|---|---|---|---|---|---|---|---|---|
| Brian David Havermann | 2078053 | 1 | 03/28/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Stewart Hausherr | 1618754 | 1 | 09/11/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carl Monroe Mook | 2440514 | 2 | 10/07/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bart Andrew Newman | 5296778 | 2 | 07/03/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Stanley Harding | 1551790 | 1 | 12/27/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bonnie Suzanne Griffith | 5498675 | 1 | 01/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Michael Rich | 2785748 | 1 | 10/16/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stacey Lynn Tate | 5373388 | 1 | 07/30/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Brian Hayes | 2515869 | 2 | 02/07/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Jerome Kurtz | 2118520 | 2 | 08/15/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |