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 |
|---|---|---|---|---|---|---|---|---|
| Alfred Bonardi | 1361351 | 2 | 10/29/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Kevin Pheney | 1272932 | 1 | 12/29/2016 | Customer Dispute | Closed-No Action | $240,000.00 | $0.00 | See FINRA Report |
| Todd Ferrell Shiver | 4170164 | 1 | 07/24/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Walter Marcel Gundlach | 1531313 | 4 | 07/15/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott Linsday Deupree | 2283465 | 1 | 11/13/2003 | Customer Dispute | Closed-No Action | $3,105,320.00 | $0.00 | See FINRA Report |
| Gerald Thomas Goss | 226249 | 1 | 07/22/2003 | Customer Dispute | Closed-No Action | $130,000.00 | $0.00 | See FINRA Report |
| David Robert Wheatley | 2337773 | 1 | 03/12/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gary Anthony Gullo | 1657060 | 1 | 06/04/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Raymond Lyle Kean | 2562320 | 10 | 07/18/2000 | Customer Dispute | Closed-No Action | $10,562.50 | $0.00 | See FINRA Report |
| Raymond Lyle Kean | 2562320 | 10 | 07/18/2000 | Customer Dispute | Closed-No Action | $23,310.00 | $0.00 | See FINRA Report |