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 |
|---|---|---|---|---|---|---|---|---|
| David Codd Boydell | 1817613 | 4 | 07/22/2015 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Richard Thomas Koch | 1183001 | 1 | 07/31/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James E Owens | 1033780 | 3 | 01/15/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Charles Pursley | 1383787 | 1 | 12/19/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James E Owens | 1033780 | 3 | 12/10/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Alan Sentnor | 3024755 | 2 | 05/15/2012 | Customer Dispute | Settled | $14,310.00 | $0.00 | See FINRA Report |
| Susan Carol Agiert | 1056989 | 1 | 05/07/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jonathan Mark Fairbanks | 1237500 | 2 | 05/31/2011 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| James Craig Coleman | 1128419 | 2 | 08/17/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James E Owens | 1033780 | 3 | 04/02/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |