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 |
|---|---|---|---|---|---|---|---|---|
| William Timothy Self | 4295200 | 1 | 02/06/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Randall Keith Beard | 1978051 | 2 | 01/02/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Jeffery Wiseman | 1358960 | 3 | 07/30/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian John Wahlfeld | 2573485 | 3 | 06/18/2013 | Customer Dispute | Settled | $69,000.00 | $0.00 | See FINRA Report |
| John Robert McCarthy | 1102734 | 1 | 11/16/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John F Porrecca | 4489057 | 1 | 11/06/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Arthur Joseph Kole | 2341397 | 1 | 09/20/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Byron Keith Ford | 2740604 | 4 | 09/10/2012 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| William Wallace Wolfe | 603933 | 1 | 08/30/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gordon Lee Crenshaw | 1082776 | 1 | 06/04/2012 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |