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 |
|---|---|---|---|---|---|---|---|---|
| Stephanie Ann Burling | 6981396 | 1 | 07/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Wayne Heath | 7183821 | 3 | 09/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dale Edward Wondisford | 6088117 | 2 | 09/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Wayne Heath | 7183821 | 3 | 07/06/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Douglas Klute | 6870787 | 2 | 09/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph Lloyd Gale | 2262423 | 1 | 12/11/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Donselle Warner | 2464813 | 1 | 11/07/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel V Brungard | 5731553 | 1 | 12/03/2013 | Customer Dispute | Denied | $117,779.00 | $0.00 | See FINRA Report |
| Travis Michael Sherman | 4436084 | 2 | 07/25/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Laurence Arnold Bowers | 4589796 | 1 | 05/24/2013 | Customer Dispute | Closed-No Action | $16,799.00 | $0.00 | See FINRA Report |