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 |
| Walter Marcel Gundlach | 1531313 | 4 | 04/20/2009 | Customer Dispute | Settled | $35,750.00 | $0.00 | See FINRA Report |
| Robert Anthony Fabrizio | 4049844 | 2 | 08/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alan Matthew Stricker | 2630094 | 2 | 06/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Greg Leslie McMullen | 2377070 | 2 | 05/16/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Greg Leslie McMullen | 2377070 | 2 | 04/09/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter Marcel Gundlach | 1531313 | 4 | 04/03/2008 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Kevin H Christopher | 4420397 | 3 | 01/15/2008 | Customer Dispute | Settled | $19,027.40 | $0.00 | See FINRA Report |