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.
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| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Thomas Cecil Martin | 5984036 | 3 | 02/14/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Paul Geel | 2069993 | 1 | 01/25/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nolan James Goslee | 6427244 | 2 | 11/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nolan James Goslee | 6427244 | 2 | 10/26/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Phillip Winther | 3188240 | 2 | 01/13/2016 | Customer Dispute | Settled | $340,664.00 | $0.00 | See FINRA Report |
| David McDowell Bryant | 5612282 | 1 | 06/18/2015 | Employment Separation After Allegations | $0.00 | $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 |
| Brian David Havermann | 2078053 | 1 | 03/28/2014 | Regulatory | Final | $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 |