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 |
|---|---|---|---|---|---|---|---|---|
| Aniruddha Ray | 2897382 | 3 | 05/26/2006 | Customer Dispute | Settled | $202,000.00 | $0.00 | See FINRA Report |
| Terry Dale Lester | 817499 | 14 | 02/04/2005 | Customer Dispute | Award / Judgment | $25,000.00 | $25,000.00 | See FINRA Report |
| Aniruddha Ray | 2897382 | 3 | 07/15/2003 | Customer Dispute | Settled | $217,100.00 | $0.00 | See FINRA Report |
| Terry Dale Lester | 817499 | 14 | 08/09/1999 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Terry Dale Lester | 817499 | 14 | 01/23/1996 | Customer Dispute | Settled | $82,641.00 | $0.00 | See FINRA Report |
| Aniruddha Ray | 2897382 | 3 | 06/30/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Terry Dale Lester | 817499 | 14 | 04/01/1980 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Terry Dale Lester | 817499 | 14 | 01/01/1980 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terry Dale Lester | 817499 | 14 | 01/01/1980 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Terry Dale Lester | 817499 | 14 | 07/01/1979 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |