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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Eugene Plummer | 1979140 | 2 | 10/01/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Robert Steven Kolb | 2985157 | 1 | 05/20/2002 | Customer Dispute | Closed-No Action | $12,000.00 | $0.00 | See FINRA Report |
| Michael Charles Dailey | 1885685 | 3 | 06/19/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Eugene Plummer | 1979140 | 2 | 03/28/2001 | Customer Dispute | Closed-No Action | $17,000.00 | $0.00 | See FINRA Report |
| Michael Charles Dailey | 1885685 | 3 | 05/25/2000 | Customer Dispute | Award / Judgment | $34,205.70 | $34,205.70 | See FINRA Report |
| Michael Charles Dailey | 1885685 | 3 | 09/01/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin Patrick Smith | 5766480 | 1 | 07/28/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Terence Widlake | 3132617 | 1 | 10/22/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roger A Long | 5827047 | 1 | 03/22/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Clifton Freels | 6752233 | 1 | 06/21/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |