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 Canisius Ruh | 4494221 | 1 | 02/12/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Clark D Harris | 2730928 | 3 | 01/26/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence Clay Spencer | 2150332 | 1 | 05/12/2010 | Customer Dispute | Closed-No Action | $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 |
| Nancy Lynne Daniel | 2398849 | 1 | 04/18/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Larry Sfinas | 419396 | 4 | 05/24/2005 | Customer Dispute | Denied | $47,000.00 | $0.00 | See FINRA Report |
| Larry Sfinas | 419396 | 4 | 09/29/2004 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Robert George Langhorst | 1832998 | 3 | 11/12/2003 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Robert George Langhorst | 1832998 | 3 | 06/19/2002 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Larry Sfinas | 419396 | 4 | 04/12/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |