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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| 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 |
| Douglas Gene Schmitz | 1771132 | 6 | 04/29/2020 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Clark D Harris | 2730928 | 3 | 01/26/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael R Cave | 4183740 | 1 | 01/31/2008 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |