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 |
|---|---|---|---|---|---|---|---|---|
| Karen R Noonan | 5972464 | 1 | 05/23/2024 | Customer Dispute | Pending | $6,089.00 | $0.00 | See FINRA Report |
| Michael Victor Young | 3242751 | 1 | 02/15/2024 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Craig Alan Rottman | 4647293 | 1 | 02/12/2024 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Douglas Gene Schmitz | 1771132 | 6 | 02/12/2024 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Douglas Gene Schmitz | 1771132 | 6 | 05/04/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shadi Maasri | 6915746 | 1 | 08/01/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael L Albertson | 5440171 | 2 | 07/06/2022 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Clark D Harris | 2730928 | 3 | 06/10/2022 | Customer Dispute | Settled | $143,366.00 | $0.00 | See FINRA Report |
| Larry Sfinas | 419396 | 4 | 04/08/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Clark D Harris | 2730928 | 3 | 04/16/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |