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 |
|---|---|---|---|---|---|---|---|---|
| Michael P Lacy | 6569897 | 1 | 04/01/2024 | Customer Dispute | Settled | $13,609.40 | $0.00 | See FINRA Report |
| Benjamin A Fuchs | 6146479 | 1 | 11/02/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Peter Thomas Hanson | 6643781 | 1 | 02/17/2023 | Customer Dispute | Settled | $217,833.00 | $0.00 | See FINRA Report |
| John David Miller | 5782052 | 1 | 06/30/2022 | Customer Dispute | Settled | $14,975.10 | $0.00 | See FINRA Report |
| Richard John Pelletier | 4024660 | 1 | 12/25/2021 | Customer Dispute | Settled | $25,898.00 | $0.00 | See FINRA Report |
| Justin Francis Carlson | 5504307 | 2 | 06/22/2021 | Customer Dispute | Settled | $2,300,000.00 | $0.00 | See FINRA Report |
| Richard David Williams | 4951778 | 1 | 05/10/2021 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Scott David Winstead | 5725472 | 2 | 04/22/2020 | Customer Dispute | Settled | $13,233.00 | $0.00 | See FINRA Report |
| Adam Robert Freund | 5726306 | 2 | 02/05/2018 | Customer Dispute | Settled | $34,920.00 | $0.00 | See FINRA Report |
| Barbara Alison Traylor Smith | 2519484 | 1 | 11/15/2017 | Customer Dispute | Settled | $23,863.00 | $0.00 | See FINRA Report |