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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Patrick Roop | 2774470 | 15 | 08/08/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Justin Francis Carlson | 5504307 | 2 | 11/23/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Patrick Roop | 2774470 | 15 | 09/21/2020 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Karen Meyer Holland | 2298337 | 2 | 05/17/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Mark Canada | 1906716 | 9 | 01/28/2005 | Customer Dispute | Closed-No Action | $81,213.00 | $0.00 | See FINRA Report |
| Kenneth Elton Smith | 2532953 | 13 | 04/10/2001 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Fraser Lawrence Allport | 1242844 | 6 | 04/06/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Eric Peter Weschke | 2486324 | 24 | 03/06/2000 | Customer Dispute | Closed-No Action | $120,000.00 | $0.00 | See FINRA Report |