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 |
|---|---|---|---|---|---|---|---|---|
| John William Swaine | 4072112 | 1 | 03/12/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Phillip Wayne Statler | 2555007 | 1 | 10/19/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Townsend Burnam | 1627308 | 3 | 11/02/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Townsend Burnam | 1627308 | 3 | 10/17/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Townsend Burnam | 1627308 | 3 | 05/11/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |