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 |
|---|---|---|---|---|---|---|---|---|
| Eric Nichols | 2710703 | 5 | 02/01/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Nichols | 2710703 | 5 | 09/05/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Halla | 2738221 | 6 | 05/31/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Nichols | 2710703 | 5 | 02/08/2017 | Customer Dispute | Settled | $60,924.90 | $0.00 | See FINRA Report |
| Don M Dumas | 1458645 | 3 | 11/28/2012 | Customer Dispute | Settled | $189,620.00 | $0.00 | See FINRA Report |
| Don M Dumas | 1458645 | 3 | 04/25/2012 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Michael Edward Halla | 2738221 | 6 | 04/09/2012 | Customer Dispute | Settled | $13,998.00 | $0.00 | See FINRA Report |
| Steven Erik Jaksch | 4405023 | 1 | 12/12/2011 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Michael Edward Halla | 2738221 | 6 | 03/21/2011 | Customer Dispute | Denied | $6,961.00 | $0.00 | See FINRA Report |
| Robert Lee Milan | 1976894 | 3 | 08/11/2010 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |