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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 10 out of 15 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Kathryn M Lester3178276102/08/2023Employment Separation After Allegations$0.00$0.00See FINRA Report
Albert Christopher Nassar6730482109/07/2022Employment Separation After Allegations$0.00$0.00See FINRA Report
Andrew Fowler Thomas4278972103/06/2020Employment Separation After Allegations$0.00$0.00See FINRA Report
Meris Arel Collier5100936104/05/2018Customer DisputeSettled$240,000.00$0.00See FINRA Report
Eric Allen Sams5722993102/14/2015CriminalFinal Disposition$0.00$0.00See FINRA Report
Gregory Raymond Banner1729388110/22/2012Customer DisputeWithdrawn$32,000.00$0.00See FINRA Report
Bart Adrian Zandbergen2290066105/10/2012Customer DisputeSettled$50,000.00$0.00See FINRA Report
John Michael Jones2650351305/21/2010Customer DisputeClosed-No Action$0.00$0.00See FINRA Report
Michael Dean Cavendish1029421108/01/2008Customer DisputeSettled$5,000.00$0.00See FINRA Report
Thomas Anners Gajdalo6019882104/03/2006CriminalFinal Disposition$0.00$0.00See FINRA Report

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