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 |
|---|---|---|---|---|---|---|---|---|
| Allen Douglas Ray | 1904019 | 6 | 07/12/2001 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Allen Douglas Ray | 1904019 | 6 | 01/30/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shaun M Tarzy | 5694211 | 1 | 10/29/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Scott Taylor | 1562964 | 3 | 10/05/1998 | Customer Dispute | Settled | $34,000.00 | $0.00 | See FINRA Report |
| Allen Douglas Ray | 1904019 | 6 | 08/20/1998 | Customer Dispute | Settled | $124,000.00 | $0.00 | See FINRA Report |
| Larry Allen Hyde | 6137476 | 1 | 04/13/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allen Douglas Ray | 1904019 | 6 | 12/01/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Allen Douglas Ray | 1904019 | 6 | 09/01/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |