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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Thomas Newquist | 3151447 | 2 | 03/10/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thelia Ann Wade | 4499078 | 1 | 02/01/2005 | Customer Dispute | Settled | $2,057,740.00 | $0.00 | See FINRA Report |
| Roger Richard Rowe | 2634387 | 1 | 01/31/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas Newquist | 3151447 | 2 | 11/09/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dirk Gavin Gilliard | 2132341 | 2 | 01/21/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |