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 |
|---|---|---|---|---|---|---|---|---|
| James Wallace King | 1798229 | 6 | 09/08/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Emmett Williams | 1615641 | 1 | 06/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Wallace King | 1798229 | 6 | 04/07/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joseph Patrick Roop | 2774470 | 15 | 02/26/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joshua Karl Greenberg | 2823154 | 2 | 02/01/2009 | Judgment / Lien | $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 |
| Dominick Anthony Messina | 2796881 | 1 | 09/15/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Wallace King | 1798229 | 6 | 07/07/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Elton Smith | 2532953 | 13 | 09/25/2006 | Customer Dispute | Settled | $95,938.00 | $0.00 | See FINRA Report |
| Karen Meyer Holland | 2298337 | 2 | 07/05/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |