Our Staff has compiled our research into a database of FINRA Broker Disclosures for Hazard & Siegel, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| George Kurt Finkbeiner | 1332275 | 3 | 10/03/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Edward Prevo | 1253521 | 1 | 09/24/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lisa Martel Graves | 1722594 | 1 | 03/26/2006 | Customer Dispute | Settled | $18,311.30 | $0.00 | See FINRA Report |
| Randy Alan Murphy | 1262982 | 10 | 12/14/2005 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Yun Chu Coughlin | 2806347 | 3 | 10/19/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Allen Kirsche | 2587688 | 2 | 07/09/2002 | Customer Dispute | Settled | $30,157.50 | $0.00 | See FINRA Report |
| Dwight Houston Carter | 1405029 | 2 | 06/21/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dwight Houston Carter | 1405029 | 2 | 03/26/2002 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Yun Chu Coughlin | 2806347 | 3 | 12/19/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Yun Chu Coughlin | 2806347 | 3 | 07/05/2001 | Customer Dispute | Settled | $126,000.00 | $0.00 | See FINRA Report |