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 |
|---|---|---|---|---|---|---|---|---|
| Robert Kennedy Thompson | 1975407 | 2 | 09/16/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy John Newell | 1339021 | 3 | 10/16/2023 | Customer Dispute | Settled | $3,713,540.00 | $0.00 | See FINRA Report |
| Robert Kennedy Thompson | 1975407 | 2 | 10/06/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Timothy John Newell | 1339021 | 3 | 07/07/2021 | Customer Dispute | Settled | $1,015,000.00 | $0.00 | See FINRA Report |
| Kristine Jane Witherow | 2890576 | 1 | 03/27/2017 | Customer Dispute | Closed-No Action | $6,952.43 | $0.00 | See FINRA Report |
| Kenneth James Wilkinson | 2504136 | 7 | 10/12/2016 | Customer Dispute | Settled | $603,000.00 | $0.00 | See FINRA Report |
| Anna Marie Dujan | 4933785 | 1 | 08/04/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth James Wilkinson | 2504136 | 7 | 04/29/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth James Wilkinson | 2504136 | 7 | 09/22/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth James Wilkinson | 2504136 | 7 | 07/25/2013 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |