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 |
|---|---|---|---|---|---|---|---|---|
| John Theron Thorne | 446350 | 1 | 05/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Walter Maurer | 2897315 | 1 | 05/11/2015 | Customer Dispute | Settled | $72,023.40 | $0.00 | See FINRA Report |
| George Gregory Hicks | 1424975 | 3 | 02/10/2015 | Customer Dispute | Closed-No Action | $275,000.00 | $0.00 | See FINRA Report |
| Jonathan Averille Wolfsohn | 1245652 | 1 | 01/29/2015 | Customer Dispute | Denied | $1,250,000.00 | $0.00 | See FINRA Report |
| Frank Hodgin Shields | 1027211 | 2 | 06/10/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frank Hodgin Shields | 1027211 | 2 | 11/05/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Clifford Darrell Sorel | 1545457 | 2 | 05/11/2012 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Richard Allen Yercheck | 4056284 | 3 | 03/23/2012 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| John Marshall Culp | 2636902 | 2 | 04/18/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| George Gregory Hicks | 1424975 | 3 | 08/31/2010 | Customer Dispute | Withdrawn | $16,000.00 | $0.00 | See FINRA Report |