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 |
|---|---|---|---|---|---|---|---|---|
| Brent Michael Thomas | 2351353 | 1 | 03/24/2023 | Customer Dispute | Settled | $950,000.00 | $0.00 | See FINRA Report |
| Dirk Gavin Gilliard | 2132341 | 2 | 06/09/2021 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Bethany Elizabeth Ketron | 5813242 | 1 | 02/03/2021 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Douglas Wayne McCulley | 2995728 | 1 | 11/13/2018 | Customer Dispute | Closed-No Action | $322,000.00 | $0.00 | See FINRA Report |
| Zachary Lepore | 7826744 | 1 | 06/22/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Erlewine | 4570754 | 3 | 01/18/2011 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |
| Christopher Erlewine | 4570754 | 3 | 07/06/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Erlewine | 4570754 | 3 | 09/11/2009 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Eric James Ousley | 3247198 | 1 | 08/19/2008 | Customer Dispute | Denied | $108,091.00 | $0.00 | See FINRA Report |
| Brian Hadley Fenn | 2440609 | 1 | 10/20/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |