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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Edward White | 728603 | 1 | 09/24/2009 | Customer Dispute | Denied | $100,000.00 | $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 | 04/24/2009 | Customer Dispute | Denied | $5,000.00 | $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 |
| Dennis Vogel Hoffman | 1054704 | 1 | 12/11/2008 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Charles Hensley Bruce Woodward | 722200 | 4 | 12/01/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Benjamin Thomas Newhouse | 3105894 | 2 | 10/14/2008 | Customer Dispute | Denied | $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 |