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 |
|---|---|---|---|---|---|---|---|---|
| Joseph William Davis | 5715883 | 1 | 04/27/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Graham Henry | 5328231 | 2 | 11/18/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Graham Henry | 5328231 | 2 | 11/01/2018 | Customer Dispute | Withdrawn | $10,132.80 | $0.00 | See FINRA Report |
| Keith Allan Svendby | 1493435 | 2 | 06/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Tharp Wittig | 3225763 | 1 | 06/17/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ryan Henry Dewitt | 6446018 | 1 | 01/28/2018 | Customer Dispute | Denied | $37,000.00 | $0.00 | See FINRA Report |
| Cathleen Nash Stevens | 2394642 | 2 | 11/27/2017 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Marc Charles Harary | 4430199 | 2 | 05/20/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Michael Gene Russell | 4843732 | 2 | 08/19/2015 | Customer Dispute | Denied | $7,275.37 | $0.00 | See FINRA Report |
| Christopher Douglas Davidson | 5274138 | 1 | 04/14/2015 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |