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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan Dale Upton | 4559794 | 4 | 12/07/2023 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Jonathan Dale Upton | 4559794 | 4 | 11/06/2019 | Customer Dispute | Denied | $7,060.00 | $0.00 | See FINRA Report |
| Jonathan Dale Upton | 4559794 | 4 | 05/21/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Blaine Slade | 3023203 | 1 | 11/01/2005 | Customer Dispute | Denied | $16,600.00 | $0.00 | See FINRA Report |