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 |
|---|---|---|---|---|---|---|---|---|
| James Stewart Hausherr | 1618754 | 1 | 09/11/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Susan Charlson McNamara Musil | 603569 | 2 | 07/10/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Doron Mehler | 6227827 | 2 | 12/20/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bart Andrew Newman | 5296778 | 2 | 08/01/2012 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Carl Monroe Mook | 2440514 | 2 | 10/07/2011 | Regulatory | Final | $0.00 | $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 |
| Charles Everett Winfrey | 4054083 | 1 | 11/11/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Wallace Scullen | 807388 | 1 | 04/12/2010 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Donald James Traugott | 2498058 | 6 | 11/09/2009 | Customer Dispute | Settled | $73,037.20 | $0.00 | See FINRA Report |