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 Paul Shields | 3075094 | 1 | 01/30/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Carter Ratzlaff | 1571089 | 1 | 01/12/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |