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 Kenney | 3084401 | 1 | 03/20/2006 | Customer Dispute | Denied | $6,319.00 | $0.00 | See FINRA Report |
| Thomas Howard Oliphint | 1172870 | 3 | 10/04/2005 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Christopher Mark Riley | 2463351 | 2 | 01/07/2005 | Customer Dispute | Settled | $83,000.00 | $0.00 | See FINRA Report |
| Bruce Loren Paulson | 5682474 | 1 | 09/09/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark William Chamberlain | 1655738 | 8 | 08/20/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Raymond Hartness | 2418328 | 1 | 04/07/2004 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Mark William Chamberlain | 1655738 | 8 | 02/18/2004 | Customer Dispute | Denied | $8,635.00 | $0.00 | See FINRA Report |
| John D Jenkins | 3208794 | 2 | 12/18/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Thomas Francis Muldowney | 2125331 | 1 | 08/20/2003 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Thomas Howard Oliphint | 1172870 | 3 | 10/08/2002 | Customer Dispute | Closed-No Action | $12,178.00 | $0.00 | See FINRA Report |