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 |
|---|---|---|---|---|---|---|---|---|
| Michael Sztrom | 3042821 | 7 | 12/26/2014 | Customer Dispute | Settled | $1,633,380.00 | $0.00 | See FINRA Report |
| Hugh Gibson Stout | 5658255 | 4 | 09/17/2013 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Charles Hensley Bruce Woodward | 722200 | 4 | 10/29/2009 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Audra Lynn Mallow | 3107785 | 3 | 06/17/2009 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Mitchell Dean Horst | 4935063 | 4 | 02/23/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey John Nuttall | 2428996 | 1 | 02/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mitchell Dean Horst | 4935063 | 4 | 09/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Bernard Lublin | 2213912 | 15 | 12/20/2005 | Customer Dispute | Settled | $7,182.00 | $0.00 | See FINRA Report |
| Mark Bernard Lublin | 2213912 | 15 | 09/19/2005 | Customer Dispute | Settled | $7,185.00 | $0.00 | See FINRA Report |
| Mark Bernard Lublin | 2213912 | 15 | 04/06/2005 | Customer Dispute | Settled | $357,239.00 | $0.00 | See FINRA Report |