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 |
|---|---|---|---|---|---|---|---|---|
| James Kevin Pratt-Heaney | 1514331 | 1 | 07/21/2021 | Customer Dispute | Settled | $525,000.00 | $0.00 | See FINRA Report |
| David Sanford James | 1421651 | 6 | 02/20/2019 | Customer Dispute | Denied | $616,877.00 | $0.00 | See FINRA Report |
| William Patrick Loftus | 1453588 | 4 | 10/25/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Sanford James | 1421651 | 6 | 08/26/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Sanford James | 1421651 | 6 | 08/18/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kimberly Rae Nelson | 4893245 | 2 | 08/18/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Sanford James | 1421651 | 6 | 08/09/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kimberly Rae Nelson | 4893245 | 2 | 08/09/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Patrick Loftus | 1453588 | 4 | 08/31/2007 | Customer Dispute | Settled | $4,323,480.00 | $0.00 | See FINRA Report |
| William Patrick Loftus | 1453588 | 4 | 08/26/2004 | Customer Dispute | Settled | $243,800.00 | $0.00 | See FINRA Report |