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FINRA Broker Disclosures for

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.

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Displaying 10 out of 76 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Brent Alan Nelson3026585708/21/2024Customer DisputePending$180,000.00$0.00See FINRA Report
Lawrence William Waller3232644711/09/2023Customer DisputePending$135,000.00$0.00See FINRA Report
Eric Michael Luckey5219374110/04/2023Customer DisputeSettled$125,000.00$0.00See FINRA Report
David Cordell Rollins4576407307/31/2023Customer DisputePending$75,000.00$0.00See FINRA Report
Byron Keith Ford2740604402/02/2022Customer DisputeClosed-No Action$0.00$0.00See FINRA Report
Dustin Perkins6583368101/03/2022Customer DisputeSettled$100,000.00$0.00See FINRA Report
Mark Charles Heberger845644101/18/2018Customer DisputeSettled$0.00$0.00See FINRA Report
Fredric Jeffrey Lowe709553203/09/2017Customer DisputeDenied$0.00$0.00See FINRA Report
Audie Gean Rea1080152311/28/2016Customer DisputeAward / Judgment$307,062.00$90,000.00See FINRA Report
Chad Jason Karl2725476205/23/2016Customer DisputeSettled$100,000.00$0.00See FINRA Report

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