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 |
|---|---|---|---|---|---|---|---|---|
| Raymond Max Pett | 2357041 | 5 | 12/18/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Max Pett | 2357041 | 5 | 09/14/2017 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Peter Timothy Frawley | 4827671 | 7 | 03/10/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Paul Azoury | 733604 | 3 | 12/01/2016 | Regulatory | Final | $0.00 | $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 Paul Azoury | 733604 | 3 | 11/01/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Meridith Louise Hutchens | 2370626 | 2 | 08/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott M Butler | 4780682 | 1 | 06/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Craig Conners | 1939727 | 3 | 06/18/2013 | Customer Dispute | Denied | $21,545.00 | $0.00 | See FINRA Report |