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 |
| Michael Gene Kissinger | 2763332 | 4 | 11/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ashby D Dawson | 4761872 | 1 | 09/18/2008 | Customer Dispute | Denied | $160,029.00 | $0.00 | See FINRA Report |
| Donald W Dormeier | 70557 | 3 | 05/20/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Franklin Butler | 4128056 | 2 | 04/15/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jeffery K Barnes | 2069368 | 1 | 09/01/2006 | Customer Dispute | Denied | $73,300.00 | $0.00 | See FINRA Report |
| Donald W Dormeier | 70557 | 3 | 06/21/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Khoa Dang Hoang | 5847337 | 5 | 02/20/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Gerald Caswell | 4476913 | 1 | 01/16/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |