Our Staff has compiled our research into a database of FINRA Broker Disclosures for Level Four Financial, LLC. 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 Brian Worthy | 2116793 | 3 | 12/28/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| John Brian Worthy | 2116793 | 3 | 12/05/2006 | Customer Dispute | Denied | $2,000.00 | $0.00 | See FINRA Report |
| Eric James Phillips | 3242965 | 3 | 05/25/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric James Phillips | 3242965 | 3 | 11/30/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Brian Worthy | 2116793 | 3 | 12/08/2003 | Customer Dispute | Settled | $21,848.00 | $0.00 | See FINRA Report |
| Christopher Mark Scout | 2412842 | 2 | 05/07/2003 | Customer Dispute | Closed-No Action | $10,946.20 | $0.00 | See FINRA Report |
| Christopher Mark Scout | 2412842 | 2 | 09/04/2002 | Customer Dispute | Denied | $7,151.32 | $0.00 | See FINRA Report |
| Kerry Constantine Geaneas | 2391503 | 5 | 03/12/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| James Robert Combs | 3002167 | 1 | 10/15/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kerry Constantine Geaneas | 2391503 | 5 | 06/18/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |