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 |
|---|---|---|---|---|---|---|---|---|
| Eric Peter Weschke | 2486324 | 24 | 09/16/2019 | Customer Dispute | Settled | $127,000.00 | $0.00 | See FINRA Report |
| Eric Peter Weschke | 2486324 | 24 | 02/25/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Peter Weschke | 2486324 | 24 | 02/25/2019 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Ian Rodger Welham | 5725451 | 1 | 10/10/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Patrick Roop | 2774470 | 15 | 10/02/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| John K Wessels | 2950145 | 14 | 07/11/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Caroline Grace Rakness | 4387701 | 2 | 03/09/2018 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| John K Wessels | 2950145 | 14 | 07/06/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John K Wessels | 2950145 | 14 | 07/13/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John K Wessels | 2950145 | 14 | 04/13/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |