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 |
|---|---|---|---|---|---|---|---|---|
| Garrett Andrew Ahrens | 1999696 | 12 | 02/04/1999 | Customer Dispute | Denied | $14,500.00 | $0.00 | See FINRA Report |
| Ben A Roth | 1080792 | 3 | 01/29/1999 | Customer Dispute | Settled | $164,000.00 | $0.00 | See FINRA Report |
| John Anthony Rojas | 2860195 | 1 | 07/23/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bonnie Kay Bailey | 6695693 | 2 | 08/08/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rajnish Bhuyan | 1796136 | 2 | 05/22/1997 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Bonnie Kay Bailey | 6695693 | 2 | 05/13/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lindsey Scott Ferguson | 1997373 | 2 | 01/20/1997 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| John Ladislav Vrablic | 2368949 | 2 | 12/12/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lindsey Scott Ferguson | 1997373 | 2 | 09/12/1995 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Terrence John Crowley | 1263981 | 5 | 01/23/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |