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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Bryan Daney | 6769388 | 1 | 12/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael David Gerberding | 7703708 | 1 | 11/18/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Owen Radford | 2654160 | 1 | 01/31/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Joseph O'Connell | 1686988 | 2 | 05/14/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Charles Hill | 818407 | 4 | 11/16/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Glenn Ray Price | 2701215 | 1 | 11/13/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Jonathan Scott | 5920445 | 1 | 11/13/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Charles Hill | 818407 | 4 | 11/03/2017 | Customer Dispute | Settled | $40,046.40 | $0.00 | See FINRA Report |
| Daniel James Gunderson | 2672397 | 3 | 09/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Cecil Martin | 5984036 | 3 | 03/09/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |