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 |
---|---|---|---|---|---|---|---|---|
Brent Alan Nelson | 3026585 | 7 | 08/21/2024 | Customer Dispute | Pending | $180,000.00 | $0.00 | See FINRA Report |
Lawrence William Waller | 3232644 | 7 | 11/09/2023 | Customer Dispute | Pending | $135,000.00 | $0.00 | See FINRA Report |
Eric Michael Luckey | 5219374 | 1 | 10/04/2023 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
David Cordell Rollins | 4576407 | 3 | 07/31/2023 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
Byron Keith Ford | 2740604 | 4 | 02/02/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
Dustin Perkins | 6583368 | 1 | 01/03/2022 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
Mark Charles Heberger | 845644 | 1 | 01/18/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Fredric Jeffrey Lowe | 709553 | 2 | 03/09/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Audie Gean Rea | 1080152 | 3 | 11/28/2016 | Customer Dispute | Award / Judgment | $307,062.00 | $90,000.00 | See FINRA Report |
Chad Jason Karl | 2725476 | 2 | 05/23/2016 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |