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 |
|---|---|---|---|---|---|---|---|---|
| Shawn Mathew Warren | 2958818 | 3 | 07/09/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Adriel John Gaines | 2933961 | 9 | 03/03/2009 | Customer Dispute | Denied | $6,399.39 | $0.00 | See FINRA Report |
| Adriel John Gaines | 2933961 | 9 | 01/29/2009 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Adriel John Gaines | 2933961 | 9 | 01/29/2009 | Customer Dispute | Settled | $14,159.20 | $0.00 | See FINRA Report |
| Adriel John Gaines | 2933961 | 9 | 01/26/2009 | Customer Dispute | Settled | $9,875.00 | $0.00 | See FINRA Report |
| Adriel John Gaines | 2933961 | 9 | 01/26/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bradley Jay Schlang | 2755909 | 9 | 10/06/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Calvin Seaborn Sumner | 713266 | 6 | 07/09/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Calvin Seaborn Sumner | 713266 | 6 | 07/09/2008 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Calvin Seaborn Sumner | 713266 | 6 | 11/13/2006 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |