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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Clare Tubbergen | 2505625 | 5 | 01/31/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis Clare Tubbergen | 2505625 | 5 | 08/03/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dennis Clare Tubbergen | 2505625 | 5 | 11/16/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis Clare Tubbergen | 2505625 | 5 | 01/14/2008 | Customer Dispute | Settled | $242,000.00 | $0.00 | See FINRA Report |
| Dennis Clare Tubbergen | 2505625 | 5 | 03/20/2003 | Customer Dispute | Settled | $111,477.00 | $0.00 | See FINRA Report |
| Frederick William Gearhart | 3147196 | 1 | 03/15/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |