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 |
|---|---|---|---|---|---|---|---|---|
| David Nelson Harper | 2053675 | 2 | 07/26/2002 | Customer Dispute | Settled | $42,000.00 | $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 |
| Daniel James Gunderson | 2672397 | 3 | 06/19/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Brian Hayes | 2515869 | 2 | 02/07/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Brian Hayes | 2515869 | 2 | 09/18/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Jerome Kurtz | 2118520 | 2 | 08/15/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Jerome Kurtz | 2118520 | 2 | 08/30/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick James Letizia | 1678398 | 1 | 07/19/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Navid Sheydaei | 6459744 | 1 | 01/28/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |