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 |
| 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 |
| Raymond Max Pett | 2357041 | 5 | 09/14/2017 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Jeffrey Harry Klauenberg | 1110287 | 1 | 08/16/2016 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Steven Craig Conners | 1939727 | 3 | 04/25/2016 | Customer Dispute | Settled | $78,212.90 | $0.00 | See FINRA Report |
| Steven Craig Conners | 1939727 | 3 | 06/18/2013 | Customer Dispute | Denied | $21,545.00 | $0.00 | See FINRA Report |
| Peter Timothy Frawley | 4827671 | 7 | 06/07/2013 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Raymond Max Pett | 2357041 | 5 | 10/06/2012 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |