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 | 02/26/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Patrick Roop | 2774470 | 15 | 12/09/2008 | Customer Dispute | Settled | $137,703.00 | $0.00 | See FINRA Report |
| Kenneth Elton Smith | 2532953 | 13 | 09/25/2006 | Customer Dispute | Settled | $95,938.00 | $0.00 | See FINRA Report |
| John Mark Canada | 1906716 | 9 | 04/04/2006 | Customer Dispute | Settled | $910,000.00 | $0.00 | See FINRA Report |
| Fraser Lawrence Allport | 1242844 | 6 | 11/28/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Elton Smith | 2532953 | 13 | 08/02/2005 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Fraser Lawrence Allport | 1242844 | 6 | 07/20/2005 | Customer Dispute | Withdrawn | $65,091.00 | $0.00 | See FINRA Report |
| Fraser Lawrence Allport | 1242844 | 6 | 06/30/2005 | Customer Dispute | Withdrawn | $1,620,510.00 | $0.00 | See FINRA Report |
| Barry Dewayne Oxford | 2949375 | 4 | 04/25/2005 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Kenneth Elton Smith | 2532953 | 13 | 04/08/2005 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |