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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Dwight Kimball Montgomery | 2071473 | 2 | 04/04/2008 | Customer Dispute | Denied | $6,645.84 | $0.00 | See FINRA Report |
| Walter Marcel Gundlach | 1531313 | 4 | 04/03/2008 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Brian Lynn Weese | 2109121 | 4 | 01/30/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kevin H Christopher | 4420397 | 3 | 01/15/2008 | Customer Dispute | Settled | $19,027.40 | $0.00 | See FINRA Report |
| Alec John Bethurum | 3197498 | 1 | 10/04/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Ladislav Vrablic | 2368949 | 2 | 04/25/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick Neil Rider | 5698396 | 1 | 12/28/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |