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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Duane M Roth | 4784123 | 1 | 10/05/2010 | Customer Dispute | Denied | $35,199.00 | $0.00 | See FINRA Report |