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 |
|---|---|---|---|---|---|---|---|---|
| Hyongsuk Choe Pau | 1132818 | 3 | 07/23/2009 | Customer Dispute | Closed-No Action | $28,000.00 | $0.00 | See FINRA Report |
| Darlene Lynn Shipe | 2458687 | 1 | 07/22/2009 | Customer Dispute | Denied | $177,000.00 | $0.00 | See FINRA Report |
| Brian Patrick Midtbo | 2787118 | 2 | 03/03/2009 | Customer Dispute | Settled | $19,762.20 | $0.00 | See FINRA Report |
| Brian Patrick Midtbo | 2787118 | 2 | 01/26/2009 | Customer Dispute | Denied | $22,973.40 | $0.00 | See FINRA Report |
| Stephanie Marie Gantt | 3142811 | 2 | 01/22/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Dale Brown | 1891178 | 1 | 06/23/2008 | Customer Dispute | Denied | $814,366.00 | $0.00 | See FINRA Report |
| Joe Francis Redmond | 4508947 | 1 | 06/23/2008 | Customer Dispute | Denied | $814,366.00 | $0.00 | See FINRA Report |
| Jimmy Lee | 2588186 | 4 | 10/29/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marci Sue Bair | 2299995 | 1 | 04/18/2006 | Customer Dispute | Denied | $609,709.00 | $0.00 | See FINRA Report |
| Thomas Edward Blumer | 1828240 | 1 | 07/26/2005 | Customer Dispute | Closed-No Action | $7,000.00 | $0.00 | See FINRA Report |