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 |
|---|---|---|---|---|---|---|---|---|
| Barry Dewayne Oxford | 2949375 | 4 | 04/23/2003 | Customer Dispute | Denied | $109,000.00 | $0.00 | See FINRA Report |
| John Mark Canada | 1906716 | 9 | 03/31/2003 | Customer Dispute | Denied | $67,446.10 | $0.00 | See FINRA Report |
| Eugene Robert Pender | 1630718 | 3 | 03/20/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Elton Smith | 2532953 | 13 | 10/08/2002 | Customer Dispute | Settled | $36,547.00 | $0.00 | See FINRA Report |
| Eric Peter Weschke | 2486324 | 24 | 09/19/2002 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Kenneth Elton Smith | 2532953 | 13 | 05/09/2002 | Customer Dispute | Denied | $538,897.00 | $0.00 | See FINRA Report |
| Kenneth Elton Smith | 2532953 | 13 | 01/10/2002 | Customer Dispute | Award / Judgment | $219,362.00 | $27,000.00 | See FINRA Report |
| Pamela Harlan Wilson | 1337224 | 4 | 09/19/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Pamela Harlan Wilson | 1337224 | 4 | 07/24/2001 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Barry Dewayne Oxford | 2949375 | 4 | 05/24/2001 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |