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 |
|---|---|---|---|---|---|---|---|---|
| Gary Charles Noveck | 729846 | 1 | 09/15/2011 | Customer Dispute | Denied | $97,000.00 | $0.00 | See FINRA Report |
| Heather Wilson Smith | 3241674 | 1 | 08/08/2011 | Customer Dispute | Settled | $34,223.30 | $0.00 | See FINRA Report |
| Randall Keith Beard | 1978051 | 2 | 03/01/2011 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Frank Stephen Sparger | 1877647 | 4 | 12/02/2010 | Customer Dispute | Denied | $29,977.00 | $0.00 | See FINRA Report |
| Michael Jeffery Wiseman | 1358960 | 3 | 03/25/2010 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Fredric Jeffrey Lowe | 709553 | 2 | 02/22/2010 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Debra Sue Howard | 1832607 | 3 | 02/11/2010 | Customer Dispute | Settled | $34,461.10 | $0.00 | See FINRA Report |
| Alvaro Torres | 2994297 | 1 | 01/25/2010 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Charles Hock | 708167 | 5 | 09/17/2009 | Customer Dispute | Settled | $167,997.00 | $0.00 | See FINRA Report |
| Judson Alan Smith | 1529730 | 2 | 05/12/2009 | Customer Dispute | Settled | $183,060.00 | $0.00 | See FINRA Report |