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 |
|---|---|---|---|---|---|---|---|---|
| Mark Charles Heberger | 845644 | 1 | 01/18/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fredric Jeffrey Lowe | 709553 | 2 | 03/09/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Audie Gean Rea | 1080152 | 3 | 11/28/2016 | Customer Dispute | Award / Judgment | $307,062.00 | $90,000.00 | See FINRA Report |
| Chad Jason Karl | 2725476 | 2 | 05/23/2016 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| James R Elieff | 2286500 | 1 | 02/03/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Michael Peavy | 4348578 | 2 | 08/04/2015 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David Cordell Rollins | 4576407 | 3 | 04/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Joseph Coite | 6304594 | 1 | 11/10/2014 | Financial | Final | $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 |
| Chad Jason Karl | 2725476 | 2 | 02/18/2014 | Customer Dispute | Settled | $152,000.00 | $0.00 | See FINRA Report |