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 |
|---|---|---|---|---|---|---|---|---|
| Noah Hunter Reichert | 4390142 | 3 | 02/24/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Harold Glendon Minton | 4973220 | 2 | 02/22/2016 | Customer Dispute | Denied | $35,015.20 | $0.00 | See FINRA Report |
| David Justin Askew | 4910056 | 1 | 03/09/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Johannes Carl Fure | 1068032 | 1 | 08/26/2014 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Jaimi Lee Dennehy | 5228802 | 2 | 05/27/2014 | Customer Dispute | Denied | $1,665,650.00 | $0.00 | See FINRA Report |
| Christopher George Kalafatis | 6119223 | 1 | 02/24/2014 | Customer Dispute | Denied | $170,000.00 | $0.00 | See FINRA Report |
| Edward Francis Dunphy | 4823589 | 1 | 04/09/2013 | Customer Dispute | Denied | $27,264.70 | $0.00 | See FINRA Report |
| Alan John Davis | 4297889 | 1 | 12/13/2012 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Edward Sorok | 2674984 | 1 | 12/28/2010 | Customer Dispute | Settled | $673,773.00 | $0.00 | See FINRA Report |
| Brian Joseph Sullivan | 1664711 | 1 | 05/07/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |