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 |
|---|---|---|---|---|---|---|---|---|
| William Daniel Brooks | 2491366 | 1 | 08/23/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Murray Smith | 1236059 | 2 | 07/12/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Robert Niedenfuehr | 1357023 | 4 | 11/21/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard C Thompson | 6443478 | 11 | 09/13/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard C Thompson | 6443478 | 11 | 02/28/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dean Edward Statler | 7005156 | 1 | 02/09/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Russell Lee Luna | 1521036 | 3 | 01/04/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard C Thompson | 6443478 | 11 | 12/21/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard C Thompson | 6443478 | 11 | 11/10/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Allen Vranek | 2111649 | 2 | 10/12/2010 | Customer Dispute | Settled | $61,537.00 | $0.00 | See FINRA Report |