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 |
|---|---|---|---|---|---|---|---|---|
| James R Elieff | 2286500 | 1 | 02/03/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Michael Peavy | 4348578 | 2 | 08/04/2015 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Brian John Wahlfeld | 2573485 | 3 | 07/31/2014 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Chad Jason Karl | 2725476 | 2 | 02/18/2014 | Customer Dispute | Settled | $152,000.00 | $0.00 | See FINRA Report |
| Randall Keith Beard | 1978051 | 2 | 01/02/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Brian John Wahlfeld | 2573485 | 3 | 06/18/2013 | Customer Dispute | Settled | $69,000.00 | $0.00 | See FINRA Report |
| Byron Keith Ford | 2740604 | 4 | 09/10/2012 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| Gordon Lee Crenshaw | 1082776 | 1 | 06/04/2012 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Brian John Wahlfeld | 2573485 | 3 | 05/18/2012 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Lawrence P Kennard | 867149 | 1 | 04/30/2012 | Customer Dispute | Settled | $49,000.00 | $0.00 | See FINRA Report |