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 | 07/30/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sharon Lee Herbst | 847172 | 4 | 03/14/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Halla | 2738221 | 6 | 04/16/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Don M Dumas | 1458645 | 3 | 07/29/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |