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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 101-110 out of 128 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Earl Stewart1424905102/05/2002Customer DisputeSettled$63,686.80$0.00See FINRA Report
Judson Alan Smith1529730201/14/2002Employment Separation After Allegations$0.00$0.00See FINRA Report
Brent Alan Nelson3026585712/12/2001RegulatoryFinal$0.00$0.00See FINRA Report
Audie Gean Rea1080152310/30/2001Customer DisputeClosed-No Action$5,000.00$0.00See FINRA Report
Byron Keith Ford2740604404/10/2001Customer DisputeSettled$7,600.00$0.00See FINRA Report
Brent Alan Nelson3026585702/07/2001Customer DisputePending$30,000.00$0.00See FINRA Report
Marc Evan Nufrio1902705305/03/2000Judgment / Lien$0.00$0.00See FINRA Report
Christopher Louis Licata1792265103/29/2000Customer DisputeSettled$0.00$0.00See FINRA Report
Brent Alan Nelson3026585701/25/2000Employment Separation After Allegations$0.00$0.00See FINRA Report
Leslie Cameron Finn2441761207/24/1999CriminalFinal Disposition$0.00$0.00See FINRA Report

128 Results

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