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 |
| Douglas Gene Schmitz | 1771132 | 6 | 09/16/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |