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 |
|---|---|---|---|---|---|---|---|---|
| Lawrence William Waller | 3232644 | 7 | 02/27/2007 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Charles Hock | 708167 | 5 | 01/09/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Arthur Tedde | 2272255 | 1 | 01/06/2007 | Customer Dispute | Closed-No Action | $31,565.00 | $0.00 | See FINRA Report |
| Stephen Anthony Beam | 2192544 | 2 | 02/09/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lawrence William Waller | 3232644 | 7 | 12/01/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Charles Hock | 708167 | 5 | 11/15/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold Lowell Wainwright | 1277248 | 2 | 08/19/2005 | Customer Dispute | Settled | $53,473.40 | $0.00 | See FINRA Report |
| Eric Christopher Sides | 2678247 | 1 | 08/03/2005 | Customer Dispute | Settled | $79,000.00 | $0.00 | See FINRA Report |
| Christopher Allen Hayden | 2493336 | 1 | 07/19/2005 | Customer Dispute | Settled | $19,648.20 | $0.00 | See FINRA Report |
| Charles Alan Hand | 2702863 | 1 | 05/07/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |