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 |
|---|---|---|---|---|---|---|---|---|
| Kelly Lee Straub | 1122041 | 1 | 08/15/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Jerome Mersberger | 2372186 | 4 | 01/06/2021 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |
| Peter Jerome Mersberger | 2372186 | 4 | 03/30/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Ernest Lee Clark | 47505 | 1 | 01/14/2019 | Customer Dispute | Denied | $12,969.70 | $0.00 | See FINRA Report |
| Blaine Gordon Malcolm | 4180753 | 2 | 10/12/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Blaine Gordon Malcolm | 4180753 | 2 | 10/12/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Scott Arnold | 1568254 | 3 | 04/18/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Margarite Lynch | 5566456 | 1 | 02/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel M Song | 5706414 | 1 | 10/15/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Melissa Lynn Griffith | 6258906 | 1 | 07/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |