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 |
|---|---|---|---|---|---|---|---|---|
| Clint Stephen Fish | 2377710 | 1 | 07/11/2017 | Customer Dispute | Settled | $6,600.00 | $0.00 | See FINRA Report |
| Scott Timothy Cavey | 4287897 | 3 | 03/23/2016 | Customer Dispute | Closed-No Action | $21,900.00 | $0.00 | See FINRA Report |
| Scott Timothy Cavey | 4287897 | 3 | 03/14/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Klaus Gerhard Steinke | 5182198 | 1 | 04/07/2014 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Scott Timothy Cavey | 4287897 | 3 | 12/16/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Curtis Lee Smith | 4760520 | 2 | 08/11/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lee Stanley Martin | 1638263 | 1 | 02/25/2003 | Customer Dispute | Settled | $6,250.00 | $0.00 | See FINRA Report |
| Roger Scott Sawtelle | 806933 | 1 | 12/31/1997 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| David Paul Vaughan | 1832513 | 1 | 05/17/1993 | Customer Dispute | Settled | $127,000.00 | $0.00 | See FINRA Report |