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 |
|---|---|---|---|---|---|---|---|---|
| Richard Douglas Anderson | 5440869 | 2 | 01/11/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Henry Lux | 2215923 | 2 | 11/03/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Douglas Anderson | 5440869 | 2 | 08/19/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lyndol Hoy Anderson | 6715407 | 1 | 01/11/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kerry James Bouchard | 4092700 | 3 | 01/10/2008 | Customer Dispute | Settled | $6,175.23 | $0.00 | See FINRA Report |
| Carson Jerome Graves | 4499132 | 1 | 09/25/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nadine Kaakouche | 7289309 | 1 | 11/01/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Travis Michael Sherman | 4436084 | 2 | 10/31/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Henry Lux | 2215923 | 2 | 05/11/2005 | Customer Dispute | Closed-No Action | $133,000.00 | $0.00 | See FINRA Report |
| Timothy Kevin Kaley | 6859791 | 1 | 01/31/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |