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 |
---|---|---|---|---|---|---|---|---|
Earl Stewart | 1424905 | 1 | 02/05/2002 | Customer Dispute | Settled | $63,686.80 | $0.00 | See FINRA Report |
Judson Alan Smith | 1529730 | 2 | 01/14/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
Brent Alan Nelson | 3026585 | 7 | 12/12/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Audie Gean Rea | 1080152 | 3 | 10/30/2001 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
Byron Keith Ford | 2740604 | 4 | 04/10/2001 | Customer Dispute | Settled | $7,600.00 | $0.00 | See FINRA Report |
Brent Alan Nelson | 3026585 | 7 | 02/07/2001 | Customer Dispute | Pending | $30,000.00 | $0.00 | See FINRA Report |
Marc Evan Nufrio | 1902705 | 3 | 05/03/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
Christopher Louis Licata | 1792265 | 1 | 03/29/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Brent Alan Nelson | 3026585 | 7 | 01/25/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
Leslie Cameron Finn | 2441761 | 2 | 07/24/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |