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 |
---|---|---|---|---|---|---|---|---|
Kathryn M Lester | 3178276 | 1 | 02/08/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
Albert Christopher Nassar | 6730482 | 1 | 09/07/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
Andrew Fowler Thomas | 4278972 | 1 | 03/06/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
Meris Arel Collier | 5100936 | 1 | 04/05/2018 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
Eric Allen Sams | 5722993 | 1 | 02/14/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Gregory Raymond Banner | 1729388 | 1 | 10/22/2012 | Customer Dispute | Withdrawn | $32,000.00 | $0.00 | See FINRA Report |
Bart Adrian Zandbergen | 2290066 | 1 | 05/10/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
John Michael Jones | 2650351 | 3 | 05/21/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
Michael Dean Cavendish | 1029421 | 1 | 08/01/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
Thomas Anners Gajdalo | 6019882 | 1 | 04/03/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |