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 |
|---|---|---|---|---|---|---|---|---|
| Charles William Kern | 2404048 | 6 | 05/24/2013 | Customer Dispute | Settled | $772,845.00 | $0.00 | See FINRA Report |
| Charles William Kern | 2404048 | 6 | 02/27/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles William Kern | 2404048 | 6 | 04/15/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles William Kern | 2404048 | 6 | 02/06/2010 | Customer Dispute | Denied | $14,539.00 | $0.00 | See FINRA Report |
| Charles William Kern | 2404048 | 6 | 04/14/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles William Kern | 2404048 | 6 | 08/17/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |