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 |
---|---|---|---|---|---|---|---|---|
Kelly Jean Warner | 1393216 | 1 | 06/11/2010 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
Charles Price Hewes | 1077166 | 1 | 02/11/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Wilkes Thomas Martin | 2441277 | 1 | 02/03/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
Dee D Becquet | 3167167 | 2 | 07/10/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Kevin H Christopher | 4420397 | 3 | 06/04/2009 | Customer Dispute | Denied | $99,832.00 | $0.00 | See FINRA Report |
Walter Marcel Gundlach | 1531313 | 4 | 04/20/2009 | Customer Dispute | Settled | $35,750.00 | $0.00 | See FINRA Report |
Timothy Jon Finkelston | 3100872 | 1 | 03/19/2009 | Customer Dispute | Award / Judgment | $81,330.50 | $81,330.50 | See FINRA Report |
Garrett Andrew Ahrens | 1999696 | 12 | 03/11/2009 | Customer Dispute | Denied | $194,500.00 | $0.00 | See FINRA Report |
James Wilbur Caspers | 2120724 | 2 | 03/04/2009 | Customer Dispute | Denied | $9,384.00 | $0.00 | See FINRA Report |
John Thomas Mougey | 1157582 | 2 | 12/09/2008 | Customer Dispute | Denied | $5,400.00 | $0.00 | See FINRA Report |