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 |
|---|---|---|---|---|---|---|---|---|
| John Foster Ripley | 7217274 | 1 | 06/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas John McKay | 3029279 | 1 | 05/22/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Wade Staten | 4420619 | 6 | 12/31/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Wade Christian | 4157126 | 4 | 10/02/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Wade Staten | 4420619 | 6 | 07/06/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Wade Christian | 4157126 | 4 | 02/20/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Wade Christian | 4157126 | 4 | 07/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Deirdre Hafen | 5915660 | 1 | 12/12/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Lee West | 1948424 | 2 | 02/04/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Walter Savino | 2522213 | 3 | 04/28/2009 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |