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 |
|---|---|---|---|---|---|---|---|---|
| Patrick O'Leary | 4207953 | 1 | 11/01/2009 | Customer Dispute | Denied | $55,000.00 | $0.00 | See FINRA Report |
| Todd Arthur Sanford | 1161685 | 2 | 08/18/2009 | Customer Dispute | Denied | $14,064.00 | $0.00 | See FINRA Report |
| Todd William Laluzerne | 4211744 | 1 | 04/23/2009 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Samuel Hume | 4930757 | 1 | 01/26/2009 | Customer Dispute | Denied | $8,293.00 | $0.00 | See FINRA Report |
| Laura Michelle Rowley | 2463642 | 1 | 08/07/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Britt | 2193989 | 1 | 02/08/2008 | Customer Dispute | Denied | $8,560.00 | $0.00 | See FINRA Report |
| Kalita B Blessing | 2355634 | 1 | 05/02/2007 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Susan Jillian Evans | 1343182 | 2 | 06/03/2005 | Customer Dispute | Settled | $12,103.40 | $0.00 | See FINRA Report |
| Matthew Dean Busick | 2542634 | 1 | 08/04/2004 | Customer Dispute | Denied | $32,000.00 | $0.00 | See FINRA Report |
| Susan Jillian Evans | 1343182 | 2 | 07/26/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |