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FINRA Broker Disclosures for

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.

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Displaying 41-50 out of 117 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Kelly Jean Warner1393216106/11/2010Customer DisputeSettled$750,000.00$0.00See FINRA Report
Charles Price Hewes1077166102/11/2010Customer DisputeSettled$0.00$0.00See FINRA Report
Wilkes Thomas Martin2441277102/03/2010Customer DisputeSettled$500,000.00$0.00See FINRA Report
Dee D Becquet3167167207/10/2009Customer DisputeDenied$0.00$0.00See FINRA Report
Kevin H Christopher4420397306/04/2009Customer DisputeDenied$99,832.00$0.00See FINRA Report
Walter Marcel Gundlach1531313404/20/2009Customer DisputeSettled$35,750.00$0.00See FINRA Report
Timothy Jon Finkelston3100872103/19/2009Customer DisputeAward / Judgment$81,330.50$81,330.50See FINRA Report
Garrett Andrew Ahrens19996961203/11/2009Customer DisputeDenied$194,500.00$0.00See FINRA Report
James Wilbur Caspers2120724203/04/2009Customer DisputeDenied$9,384.00$0.00See FINRA Report
John Thomas Mougey1157582212/09/2008Customer DisputeDenied$5,400.00$0.00See FINRA Report

117 Results

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