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 |
|---|---|---|---|---|---|---|---|---|
| Jaimi Lee Dennehy | 5228802 | 2 | 08/28/2018 | Customer Dispute | Settled | $8,041.00 | $0.00 | See FINRA Report |
| Joseph Edward Sorok | 2674984 | 1 | 12/28/2010 | Customer Dispute | Settled | $673,773.00 | $0.00 | See FINRA Report |
| Susan Jillian Evans | 1343182 | 2 | 06/03/2005 | Customer Dispute | Settled | $12,103.40 | $0.00 | See FINRA Report |
| Susan Jillian Evans | 1343182 | 2 | 07/26/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Keith Riffe | 2939907 | 1 | 01/17/2003 | Customer Dispute | Settled | $390,000.00 | $0.00 | See FINRA Report |
| Tracy Oliff Jackson | 1717963 | 2 | 10/24/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Axelrod | 1159149 | 11 | 01/12/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tracy Oliff Jackson | 1717963 | 2 | 09/22/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Axelrod | 1159149 | 11 | 08/23/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Axelrod | 1159149 | 11 | 09/01/1991 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |