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 |
|---|---|---|---|---|---|---|---|---|
| Robert Angus Guy | 1726805 | 3 | 03/31/2021 | Customer Dispute | Denied | $120,000.00 | $0.00 | See FINRA Report |
| Mark Ronald Roberts | 2734867 | 3 | 11/10/2015 | Customer Dispute | Denied | $897,600.00 | $0.00 | See FINRA Report |
| Nicholas Peter Millard | 1562559 | 2 | 09/13/2012 | Customer Dispute | Denied | $0.00 | $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 |
| Curtis Brian Wilson | 1517272 | 5 | 09/29/2000 | Customer Dispute | Denied | $10,500.00 | $0.00 | See FINRA Report |