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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Stephen Thompson | 4243976 | 1 | 02/23/2021 | Customer Dispute | Closed-No Action | $52,500.00 | $0.00 | See FINRA Report |
| Brian Wolfer | 3208798 | 1 | 11/12/2019 | Customer Dispute | Closed-No Action | $13,000.00 | $0.00 | See FINRA Report |
| Erin Michelle Hoestje | 5012944 | 1 | 08/01/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Anthony Jacobs | 828922 | 4 | 05/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Anthony Jacobs | 828922 | 4 | 03/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Anthony Jacobs | 828922 | 4 | 01/08/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Anthony Jacobs | 828922 | 4 | 12/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Lee Howard | 2778581 | 1 | 10/30/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Raymond Max Pett | 2357041 | 5 | 04/16/2018 | Customer Dispute | Settled | $590,708.00 | $0.00 | See FINRA Report |
| Raymond Max Pett | 2357041 | 5 | 01/26/2018 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |