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 |
|---|---|---|---|---|---|---|---|---|
| Mitchell Nunn | 7829781 | 1 | 04/06/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donald James Traugott | 2498058 | 6 | 01/31/2006 | Customer Dispute | Settled | $15,104.20 | $0.00 | See FINRA Report |
| Donald James Traugott | 2498058 | 6 | 01/31/2006 | Customer Dispute | Settled | $5,399.94 | $0.00 | See FINRA Report |
| Donald James Traugott | 2498058 | 6 | 01/31/2006 | Customer Dispute | Settled | $7,673.46 | $0.00 | See FINRA Report |
| Thomas Cecil Martin | 5984036 | 3 | 08/04/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Phillip Winther | 3188240 | 2 | 06/28/2005 | Customer Dispute | Settled | $9,983.69 | $0.00 | See FINRA Report |
| Mark Robert Scherer | 2169683 | 1 | 02/04/2005 | Customer Dispute | Settled | $11,954.50 | $0.00 | See FINRA Report |
| Bonnie Suzanne Griffith | 5498675 | 1 | 01/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marvin Ray Reynolds | 1340749 | 1 | 03/24/2004 | Customer Dispute | Settled | $468,395.00 | $0.00 | See FINRA Report |
| Donald James Traugott | 2498058 | 6 | 06/30/2003 | Customer Dispute | Settled | $15,560.00 | $0.00 | See FINRA Report |