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 |
|---|---|---|---|---|---|---|---|---|
| Fredric Jeffrey Lowe | 709553 | 2 | 02/22/2010 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Debra Sue Howard | 1832607 | 3 | 02/11/2010 | Customer Dispute | Settled | $34,461.10 | $0.00 | See FINRA Report |
| Alvaro Torres | 2994297 | 1 | 01/25/2010 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Marc Evan Nufrio | 1902705 | 3 | 12/08/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Charles Hock | 708167 | 5 | 09/17/2009 | Customer Dispute | Settled | $167,997.00 | $0.00 | See FINRA Report |
| Judson Alan Smith | 1529730 | 2 | 05/12/2009 | Customer Dispute | Settled | $183,060.00 | $0.00 | See FINRA Report |
| David William Allen | 1557196 | 1 | 02/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frank Stephen Sparger | 1877647 | 4 | 01/23/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Durbin Don McDermott | 326602 | 2 | 11/14/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher Earl Corley | 4419160 | 3 | 10/31/2008 | Customer Dispute | Settled | $445,000.00 | $0.00 | See FINRA Report |