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 |
|---|---|---|---|---|---|---|---|---|
| Raymond Allen Thomas | 2465479 | 3 | 04/15/2004 | Customer Dispute | Settled | $11,806.60 | $0.00 | See FINRA Report |
| Joseph Stuart Newman | 1364418 | 3 | 01/21/2004 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Ralph Lamar Youngblood | 2933518 | 1 | 12/16/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Vaughn Sluss | 1565580 | 3 | 11/26/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Anthony Newbould | 2874327 | 2 | 09/24/2003 | Customer Dispute | Denied | $45,178.00 | $0.00 | See FINRA Report |
| Eric Vaughn Sluss | 1565580 | 3 | 08/22/2003 | Customer Dispute | Denied | $56,874.00 | $0.00 | See FINRA Report |
| William Blair Hammond | 2232222 | 1 | 08/14/2003 | Customer Dispute | Settled | $19,046.00 | $0.00 | See FINRA Report |
| Joseph Stuart Newman | 1364418 | 3 | 06/12/2003 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| John Phillip Carney | 3035326 | 1 | 03/12/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Francis Worfolk | 2629619 | 1 | 01/31/2003 | Customer Dispute | Withdrawn | $36,852.00 | $0.00 | See FINRA Report |