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 |
|---|---|---|---|---|---|---|---|---|
| Harold Alan Schwartz | 841225 | 5 | 01/27/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Nathan Lee Wilson | 3088187 | 3 | 10/16/2019 | Customer Dispute | Settled | $10,500.00 | $0.00 | See FINRA Report |
| Harold Alan Schwartz | 841225 | 5 | 08/27/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jesse Clifton Dove | 1661883 | 2 | 07/14/2014 | Customer Dispute | Settled | $451,491.00 | $0.00 | See FINRA Report |
| Steven Craig Walstad | 1577424 | 3 | 10/03/2012 | Customer Dispute | Settled | $13,429.40 | $0.00 | See FINRA Report |
| Joseph William Dise | 2299007 | 3 | 05/12/2003 | Customer Dispute | Closed-No Action | $24,091.00 | $0.00 | See FINRA Report |
| Harold Alan Schwartz | 841225 | 5 | 12/01/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathan Lee Wilson | 3088187 | 3 | 12/27/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph William Dise | 2299007 | 3 | 08/15/2000 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael John Markowski | 2671573 | 3 | 09/16/1997 | Customer Dispute | Closed-No Action | $61,514.00 | $0.00 | See FINRA Report |