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 |
|---|---|---|---|---|---|---|---|---|
| Eric Vaughn Sluss | 1565580 | 3 | 07/26/2002 | Customer Dispute | Denied | $10,900.00 | $0.00 | See FINRA Report |
| Lawrence Jay Cole | 1915922 | 4 | 06/04/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Duane John Smith | 2422983 | 2 | 05/20/2002 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Robert Morris Hoffman | 1393867 | 3 | 01/10/2002 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Warren Bernard Gallagher | 2460167 | 5 | 11/30/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kenneth Michael Ford | 2651512 | 3 | 11/07/2001 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| William Robert Flynn | 1988872 | 1 | 09/20/2001 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| William Wesley Neighbors | 1693608 | 2 | 09/07/2001 | Customer Dispute | Settled | $622,600.00 | $0.00 | See FINRA Report |
| Edward Lee Lazaro | 2107606 | 1 | 08/21/2001 | Customer Dispute | Closed-No Action | $34,357.60 | $0.00 | See FINRA Report |
| Mary Beth B Donas | 2854973 | 1 | 07/16/2001 | Customer Dispute | Closed-No Action | $5,920.00 | $0.00 | See FINRA Report |