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 |
|---|---|---|---|---|---|---|---|---|
| Ryan William McCain | 4287187 | 1 | 11/12/2008 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Jay Norman Warren | 1978700 | 3 | 09/29/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jay Norman Warren | 1978700 | 3 | 09/29/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jay Norman Warren | 1978700 | 3 | 09/29/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jarrod William Rutledge | 4769331 | 2 | 12/29/2007 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Ernest Paul Carrera | 2398888 | 2 | 09/28/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Reuben Nessim | 2045490 | 2 | 04/28/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Michael Pitera | 1769197 | 3 | 11/08/2005 | Customer Dispute | Denied | $5,174.36 | $0.00 | See FINRA Report |
| Timothy Thomas Feldheim | 4751474 | 1 | 08/11/2005 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Perry Wayne Nafziger | 4102232 | 1 | 05/26/2005 | Customer Dispute | Closed-No Action | $23,000.00 | $0.00 | See FINRA Report |