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 |
|---|---|---|---|---|---|---|---|---|
| Brian Daniel Parker | 2161106 | 7 | 10/01/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Allen Yantis | 1835261 | 2 | 04/19/2018 | Customer Dispute | Denied | $142,000.00 | $0.00 | See FINRA Report |
| Richard Allen Yantis | 1835261 | 2 | 04/12/2018 | Customer Dispute | Denied | $142,278.00 | $0.00 | See FINRA Report |
| Brian Daniel Parker | 2161106 | 7 | 10/13/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Daniel Parker | 2161106 | 7 | 05/20/2016 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Brian Daniel Parker | 2161106 | 7 | 11/19/2015 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Brian Daniel Parker | 2161106 | 7 | 05/05/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Daniel Parker | 2161106 | 7 | 01/14/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Duane M Roth | 4784123 | 1 | 10/05/2010 | Customer Dispute | Denied | $35,199.00 | $0.00 | See FINRA Report |
| Brian Daniel Parker | 2161106 | 7 | 12/03/2001 | Customer Dispute | Settled | $8,876.07 | $0.00 | See FINRA Report |