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 |
|---|---|---|---|---|---|---|---|---|
| Alan Michael Eppers | 2113087 | 3 | 07/16/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alan Michael Eppers | 2113087 | 3 | 07/04/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alan Michael Eppers | 2113087 | 3 | 11/14/2005 | Customer Dispute | Settled | $72,000.00 | $0.00 | See FINRA Report |
| Gary Lee Vogt | 1038262 | 7 | 08/13/2004 | Customer Dispute | Settled | $34,809.10 | $0.00 | See FINRA Report |
| Manuel Arias | 2226776 | 4 | 07/08/2004 | Customer Dispute | Award / Judgment | $61,684.20 | $58,666.90 | See FINRA Report |
| Manuel Arias | 2226776 | 4 | 04/22/2004 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Joseph Bernard Rosenberg | 1639443 | 2 | 07/02/2003 | Customer Dispute | Settled | $31,814.30 | $0.00 | See FINRA Report |
| Manuel Arias | 2226776 | 4 | 06/18/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| David Leo Spiegel | 2305256 | 1 | 09/03/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gary Lee Vogt | 1038262 | 7 | 07/11/2002 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |