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 |
|---|---|---|---|---|---|---|---|---|
| Peter Westover Helms | 3048228 | 1 | 09/25/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Stephen Leon Harrison | 2236475 | 1 | 09/25/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |