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 |
|---|---|---|---|---|---|---|---|---|
| Erin Murray Williams | 2209966 | 1 | 12/19/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Noble Jenkins | 1949918 | 4 | 12/16/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Noble Jenkins | 1949918 | 4 | 12/16/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sharon Lee Herbst | 847172 | 4 | 10/14/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Edward Halla | 2738221 | 6 | 04/16/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Lee Milan | 1976894 | 3 | 05/06/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Don M Dumas | 1458645 | 3 | 11/28/2012 | Customer Dispute | Settled | $189,620.00 | $0.00 | See FINRA Report |
| Willy Ong Tan | 4186228 | 1 | 08/30/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Edward Halla | 2738221 | 6 | 06/21/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Don M Dumas | 1458645 | 3 | 04/25/2012 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |