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 |
|---|---|---|---|---|---|---|---|---|
| Mark Bernard Lublin | 2213912 | 15 | 08/19/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jaimi Lee Dennehy | 5228802 | 2 | 05/27/2014 | Customer Dispute | Denied | $1,665,650.00 | $0.00 | See FINRA Report |
| Audra Lynn Mallow | 3107785 | 3 | 04/14/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christopher George Kalafatis | 6119223 | 1 | 02/24/2014 | Customer Dispute | Denied | $170,000.00 | $0.00 | See FINRA Report |
| Hugh Gibson Stout | 5658255 | 4 | 10/21/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Hugh Gibson Stout | 5658255 | 4 | 09/17/2013 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Eric John Olney | 5626496 | 1 | 12/20/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Audra Lynn Mallow | 3107785 | 3 | 02/29/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher B Lynn | 4197758 | 1 | 04/02/2010 | Regulatory | Final | $0.00 | $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 |