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 |
|---|---|---|---|---|---|---|---|---|
| Fredric Jeffrey Lowe | 709553 | 2 | 03/09/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James R Elieff | 2286500 | 1 | 02/03/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian John Wahlfeld | 2573485 | 3 | 07/31/2014 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Brian John Wahlfeld | 2573485 | 3 | 05/18/2012 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Gary Charles Noveck | 729846 | 1 | 09/15/2011 | Customer Dispute | Denied | $97,000.00 | $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 |
| Fredric Jeffrey Lowe | 709553 | 2 | 02/22/2010 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| David William Allen | 1557196 | 1 | 02/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frank Stephen Sparger | 1877647 | 4 | 01/23/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |