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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Michael Herrmann | 4123657 | 11 | 10/19/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Wheeler | 4154771 | 2 | 10/26/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Herrmann | 4123657 | 11 | 10/13/2016 | Customer Dispute | Settled | $12,700.00 | $0.00 | See FINRA Report |
| Brian Joseph Wheeler | 4154771 | 2 | 08/01/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Herrmann | 4123657 | 11 | 03/28/2016 | Customer Dispute | Settled | $6,112.00 | $0.00 | See FINRA Report |
| Christopher Michael Herrmann | 4123657 | 11 | 05/20/2015 | Customer Dispute | Closed-No Action | $11,200.00 | $0.00 | See FINRA Report |
| Christopher Michael Herrmann | 4123657 | 11 | 04/28/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher Michael Herrmann | 4123657 | 11 | 04/20/2015 | Customer Dispute | Settled | $17,175.00 | $0.00 | See FINRA Report |
| Christopher Michael Herrmann | 4123657 | 11 | 10/24/2013 | Customer Dispute | Denied | $5,776.25 | $0.00 | See FINRA Report |
| Christopher Michael Herrmann | 4123657 | 11 | 12/11/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |