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 |
|---|---|---|---|---|---|---|---|---|
| Harold George Wenger | 1048191 | 3 | 03/27/2009 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Andrew Herbert Taylor | 4272017 | 2 | 01/05/2009 | Customer Dispute | Denied | $6,051.88 | $0.00 | See FINRA Report |
| Ashby D Dawson | 4761872 | 1 | 09/18/2008 | Customer Dispute | Denied | $160,029.00 | $0.00 | See FINRA Report |
| Jeffery K Barnes | 2069368 | 1 | 09/01/2006 | Customer Dispute | Denied | $73,300.00 | $0.00 | See FINRA Report |
| Eric Gerald Caswell | 4476913 | 1 | 01/16/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |