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 |
|---|---|---|---|---|---|---|---|---|
| Ricardo William Cabrera | 5632596 | 3 | 12/08/2016 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Mark Ronald Roberts | 2734867 | 3 | 11/10/2015 | Customer Dispute | Denied | $897,600.00 | $0.00 | See FINRA Report |
| David Gene Cox | 5518178 | 1 | 08/27/2015 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Brian John Brechler | 4728254 | 1 | 05/21/2015 | Customer Dispute | Settled | $12,500.00 | $0.00 | See FINRA Report |
| Gary Charles Haack | 2796834 | 3 | 04/20/2015 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Danny Eugene Ward | 458669 | 2 | 09/20/2012 | Customer Dispute | Settled | $705,000.00 | $0.00 | See FINRA Report |
| Nicholas Peter Millard | 1562559 | 2 | 09/13/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wayne Scott Brunt | 2338336 | 3 | 08/10/2011 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Brian William Harrold | 4757333 | 1 | 03/03/2010 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Andrew Steven Heifer | 3028582 | 1 | 10/26/2009 | Customer Dispute | Denied | $184,000.00 | $0.00 | See FINRA Report |