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 |
|---|---|---|---|---|---|---|---|---|
| Tracy Morse Kinder | 7198157 | 1 | 07/05/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William W Leboeuf | 2464080 | 3 | 04/19/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William W Leboeuf | 2464080 | 3 | 11/23/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William W Leboeuf | 2464080 | 3 | 11/21/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edgar Allen Thomas | 2231242 | 4 | 10/16/2017 | Customer Dispute | Closed-No Action | $48,753.60 | $0.00 | See FINRA Report |
| Edgar Allen Thomas | 2231242 | 4 | 04/28/2016 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Edgar Allen Thomas | 2231242 | 4 | 11/06/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edgar Allen Thomas | 2231242 | 4 | 08/08/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hans-Christian Winkler | 2966966 | 1 | 12/21/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| William Dennis Burns | 1744281 | 4 | 09/20/2006 | Customer Dispute | Closed-No Action | $900,000.00 | $0.00 | See FINRA Report |