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 |
|---|---|---|---|---|---|---|---|---|
| Bradley Jay Schlang | 2755909 | 9 | 07/17/2013 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Bradley Jay Schlang | 2755909 | 9 | 09/24/2012 | Customer Dispute | Award / Judgment | $3,818,000.00 | $1,028,320.00 | See FINRA Report |
| George Michael Mallick | 2469228 | 1 | 08/03/2012 | Customer Dispute | Denied | $220,000.00 | $0.00 | See FINRA Report |
| Jeffery Owen Briggs | 2294035 | 1 | 03/24/2012 | Customer Dispute | Settled | $1,510,800.00 | $0.00 | See FINRA Report |
| Theodore Stewart Lorenzen | 2044769 | 5 | 03/14/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Shawn Mathew Warren | 2958818 | 3 | 10/20/2011 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Shawn Mathew Warren | 2958818 | 3 | 09/07/2011 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Gregory Scott Aynesworth | 2317755 | 1 | 09/01/2011 | Customer Dispute | Closed-No Action | $959,764.00 | $0.00 | See FINRA Report |
| Richard Dale Almond | 733613 | 1 | 04/21/2011 | Customer Dispute | Settled | $2,800,000.00 | $0.00 | See FINRA Report |
| Bradley Jay Schlang | 2755909 | 9 | 04/07/2011 | Customer Dispute | Settled | $3,187,000.00 | $0.00 | See FINRA Report |