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 | 03/24/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Durbin Don McDermott | 326602 | 2 | 03/15/2005 | Customer Dispute | Settled | $391,048.00 | $0.00 | See FINRA Report |
| Thomas Charles Hock | 708167 | 5 | 11/30/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Lee Brown | 1719962 | 1 | 11/22/2004 | Customer Dispute | Denied | $99,489.70 | $0.00 | See FINRA Report |
| Mark Edward Flaherty | 1173405 | 3 | 10/29/2004 | Customer Dispute | Award / Judgment | $244,160.00 | $30,902.00 | See FINRA Report |
| David Crawford Champion | 1357916 | 1 | 06/03/2004 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Stephen Anthony Beam | 2192544 | 2 | 04/06/2004 | Customer Dispute | Denied | $42,234.10 | $0.00 | See FINRA Report |
| Thomas Charles Hock | 708167 | 5 | 01/02/2004 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Alistair McKee Kelly | 1607116 | 1 | 10/31/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth James Popovec | 1751606 | 2 | 09/23/2003 | Customer Dispute | Denied | $104,961.00 | $0.00 | See FINRA Report |