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 |
|---|---|---|---|---|---|---|---|---|
| Bruce Alan Herrick | 244075 | 9 | 07/12/2019 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Bruce Alan Herrick | 244075 | 9 | 06/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bruce Alan Herrick | 244075 | 9 | 04/18/2006 | Customer Dispute | Denied | $15,804.00 | $0.00 | See FINRA Report |
| Bruce Alan Herrick | 244075 | 9 | 01/30/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Bruce Alan Herrick | 244075 | 9 | 12/26/2000 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Bruce Alan Herrick | 244075 | 9 | 07/28/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Alan Herrick | 244075 | 9 | 05/22/1992 | Customer Dispute | Award / Judgment | $34,000.00 | $5,000.00 | See FINRA Report |
| Bruce Alan Herrick | 244075 | 9 | 04/05/1991 | Customer Dispute | Settled | $128,000.00 | $0.00 | See FINRA Report |
| Bruce Alan Herrick | 244075 | 9 | 12/09/1987 | Customer Dispute | Settled | $69,000.00 | $0.00 | See FINRA Report |