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 |
|---|---|---|---|---|---|---|---|---|
| James Ellis Day | 2588037 | 1 | 07/23/2021 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Steven Michael Ayer | 2520471 | 2 | 07/14/2021 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Jeffrey Gaither Sullivan | 1133559 | 1 | 07/14/2021 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Richard William Weeks IV | 2467229 | 3 | 04/09/2021 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Peter Joseph Klein | 1523734 | 1 | 03/05/2021 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| William Bartly Wolf | 2235652 | 8 | 12/02/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Ethan Collins | 4469610 | 2 | 12/02/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Henry E Crosby | 4897355 | 1 | 04/23/2020 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Robert D Warren | 5993003 | 1 | 03/11/2020 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| William Bartly Wolf | 2235652 | 8 | 02/20/2020 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |