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 |
|---|---|---|---|---|---|---|---|---|
| Brent Alan Nelson | 3026585 | 7 | 06/21/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| George Wilbur Dawkins | 2465788 | 1 | 01/12/1999 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Peter Saab | 2058539 | 1 | 08/03/1998 | Customer Dispute | Pending | $5,640.00 | $0.00 | See FINRA Report |
| Harold Lowell Wainwright | 1277248 | 2 | 06/11/1998 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Robert Leo McLaughlin | 867781 | 4 | 05/15/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Leo McLaughlin | 867781 | 4 | 07/01/1995 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Robert Leo McLaughlin | 867781 | 4 | 05/01/1995 | Customer Dispute | Settled | $242,000.00 | $0.00 | See FINRA Report |
| Robert Leo McLaughlin | 867781 | 4 | 09/01/1994 | Customer Dispute | Settled | $491,250.00 | $0.00 | See FINRA Report |
| Kevin Scott Dick | 1413097 | 1 | 01/01/1994 | Customer Dispute | Settled | $235,000.00 | $0.00 | See FINRA Report |
| Thomas Quentin Cannon | 39762 | 4 | 12/17/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |