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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Lowell Freseman | 214140 | 2 | 10/15/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Lowell Freseman | 214140 | 2 | 08/14/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Donald Gifford Gaumer | 5270645 | 1 | 06/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |