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 |
| Sean M Moore | 4314987 | 2 | 07/24/2014 | Customer Dispute | Settled | $24,829.00 | $0.00 | See FINRA Report |
| James Scott Arnold | 1568254 | 3 | 05/01/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lori Resnick Price | 1305557 | 2 | 10/08/2010 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| John Franklin Keene | 1811024 | 2 | 06/08/2010 | Customer Dispute | Settled | $14,104.90 | $0.00 | See FINRA Report |
| Joseph James Faux | 3245953 | 1 | 06/08/2010 | Customer Dispute | Settled | $14,104.90 | $0.00 | See FINRA Report |
| Michael Flynn Ajango | 1273248 | 3 | 11/09/2006 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Todd Hoyt Hicks | 1272847 | 3 | 05/26/2006 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |