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FINRA Broker Disclosures for

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.

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Displaying 6 out of 6 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Timothy John Newell1339021310/16/2023Customer DisputeSettled$3,713,540.00$0.00See FINRA Report
Timothy John Newell1339021307/07/2021Customer DisputeSettled$1,015,000.00$0.00See FINRA Report
Kristine Jane Witherow2890576103/27/2017Customer DisputeClosed-No Action$6,952.43$0.00See FINRA Report
Kenneth James Wilkinson2504136710/12/2016Customer DisputeSettled$603,000.00$0.00See FINRA Report
Kenneth James Wilkinson2504136707/25/2013Customer DisputeSettled$100,000.00$0.00See FINRA Report
Timothy John Newell1339021312/19/2008Customer DisputeDenied$11,000.00$0.00See FINRA Report

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