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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Joseph Rourke | 6060980 | 1 | 09/18/2022 | Customer Dispute | Denied | $58,000.00 | $0.00 | See FINRA Report |
| James Andrew Burton | 2201399 | 2 | 02/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jo Simmons Aldridge | 4339629 | 1 | 11/03/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brett Roberts Carlson | 2788353 | 2 | 07/09/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William H Ziehl Jr | 1293699 | 3 | 05/05/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John William Watt | 1767727 | 1 | 03/05/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Andrew Burton | 2201399 | 2 | 03/09/2005 | Customer Dispute | Settled | $8,700.00 | $0.00 | See FINRA Report |
| Brett Roberts Carlson | 2788353 | 2 | 12/05/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William H Ziehl Jr | 1293699 | 3 | 05/01/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William H Ziehl Jr | 1293699 | 3 | 12/03/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |