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 |
|---|---|---|---|---|---|---|---|---|
| Jay Richard Sanford | 2853124 | 2 | 07/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Arthur Woody | 1349560 | 2 | 04/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip E Hecker | 6500679 | 1 | 11/10/2016 | Customer Dispute | Closed-No Action | $5,150.53 | $0.00 | See FINRA Report |
| Stephen Michael Kloss | 1809007 | 2 | 06/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Kloss | 1809007 | 2 | 05/17/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Fredrick Rubinstein | 1535991 | 2 | 02/18/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles P Merrick | 3101541 | 2 | 10/14/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard J Cawthorne | 2941950 | 1 | 04/30/2015 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Ronald Arthur Woody | 1349560 | 2 | 02/02/2015 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| William Christopher Hawkins | 1967710 | 1 | 03/20/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |