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 |
|---|---|---|---|---|---|---|---|---|
| Richard Thomas Dunnett | 2693001 | 2 | 06/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Anthony Dellelo | 2170012 | 1 | 11/16/2017 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Louise Marie Cole | 1189173 | 1 | 10/19/2016 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Scott Vincent Kaup | 1002907 | 5 | 04/25/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wayne Alan Barker | 5982189 | 1 | 12/11/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Overfield | 7659942 | 3 | 07/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Overfield | 7659942 | 3 | 04/17/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Keith U Heritage | 5231172 | 2 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julie Thompson Manning | 5664823 | 1 | 11/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George William Cole | 846724 | 2 | 05/13/2014 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |