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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Elton Smith | 2532953 | 13 | 12/08/2004 | Customer Dispute | Settled | $5,144.23 | $0.00 | See FINRA Report |
| John Mark Canada | 1906716 | 9 | 10/12/2004 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Kenneth Elton Smith | 2532953 | 13 | 07/20/2004 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| John Mark Canada | 1906716 | 9 | 06/30/2004 | Customer Dispute | Denied | $49,906.40 | $0.00 | See FINRA Report |
| John Mark Canada | 1906716 | 9 | 04/30/2004 | Customer Dispute | Settled | $15,754.80 | $0.00 | See FINRA Report |
| John Mark Canada | 1906716 | 9 | 03/24/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Miguel Angel Hernandez | 4809132 | 1 | 12/31/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Elton Smith | 2532953 | 13 | 11/03/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Vincent Meaglia | 862483 | 27 | 05/27/2003 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| John Mark Canada | 1906716 | 9 | 05/20/2003 | Customer Dispute | Settled | $7,407.00 | $0.00 | See FINRA Report |