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 |
|---|---|---|---|---|---|---|---|---|
| Peter Marshall Hass | 1289700 | 1 | 10/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Bradley Hooks | 5173167 | 1 | 04/01/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Derick Wayne Walters | 4796518 | 1 | 01/28/2011 | Customer Dispute | Denied | $11,730.90 | $0.00 | See FINRA Report |
| Marc Charles Harary | 4430199 | 2 | 01/21/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Keith Allan Svendby | 1493435 | 2 | 10/06/2010 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Cathleen Nash Stevens | 2394642 | 2 | 06/01/2010 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| Michael Gene Russell | 4843732 | 2 | 03/03/2010 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| John M Stoken | 2375044 | 1 | 09/04/2009 | Customer Dispute | Settled | $59,000.00 | $0.00 | See FINRA Report |
| David Dana Stone | 703932 | 1 | 05/29/2009 | Customer Dispute | Settled | $15,181.00 | $0.00 | See FINRA Report |
| Jarrod William Rutledge | 4769331 | 2 | 04/13/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |