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 |
|---|---|---|---|---|---|---|---|---|
| Brian R Bach | 1535253 | 1 | 09/22/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Richard Tillou | 1463456 | 3 | 03/16/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Scott Taylor | 1562964 | 3 | 03/07/2014 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Douglas David Horne | 2360520 | 3 | 05/02/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Richard Tillou | 1463456 | 3 | 10/28/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Rogers Gaddy | 2338947 | 2 | 10/24/2008 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| Douglas David Horne | 2360520 | 3 | 08/16/2007 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas David Horne | 2360520 | 3 | 02/13/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Alan Lopez | 5884243 | 1 | 10/28/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Allen Douglas Ray | 1904019 | 6 | 03/06/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |