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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| William Noble Jenkins | 1949918 | 4 | 07/29/2010 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Robert Lee Milan | 1976894 | 3 | 03/05/2010 | Customer Dispute | Denied | $7,472.99 | $0.00 | See FINRA Report |
| Don M Dumas | 1458645 | 3 | 07/29/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Russell A Andrews | 1702479 | 3 | 02/23/2009 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Russell A Andrews | 1702479 | 3 | 09/07/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sharon Lee Herbst | 847172 | 4 | 07/11/2006 | Customer Dispute | Closed-No Action | $22,500.00 | $0.00 | See FINRA Report |