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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Gene Schmitz | 1771132 | 6 | 08/04/2020 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Douglas Gene Schmitz | 1771132 | 6 | 07/24/2020 | Customer Dispute | Closed-No Action | $5,200.00 | $0.00 | See FINRA Report |
| Douglas Gene Schmitz | 1771132 | 6 | 04/29/2020 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Weslee D Phelps | 6067726 | 1 | 10/29/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lori Beth Kamen | 2805591 | 2 | 01/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lori Beth Kamen | 2805591 | 2 | 01/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Austin A Bowlin | 5674142 | 1 | 05/02/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Gene Schmitz | 1771132 | 6 | 09/16/2015 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Bradley Allen Davis | 4763844 | 1 | 02/06/2015 | Customer Dispute | Award / Judgment | $242,000.00 | $0.00 | See FINRA Report |
| Michael L Albertson | 5440171 | 2 | 06/15/2013 | Customer Dispute | Closed-No Action | $148,486.00 | $0.00 | See FINRA Report |