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 |
|---|---|---|---|---|---|---|---|---|
| Francis Michael Gargano | 2250170 | 1 | 01/20/2016 | Financial | Final | $0.00 | $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 |
| Robert Angus Guy | 1726805 | 3 | 06/29/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wayne Scott Brunt | 2338336 | 3 | 06/22/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Charles Haack | 2796834 | 3 | 06/05/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian John Brechler | 4728254 | 1 | 05/21/2015 | Customer Dispute | Settled | $12,500.00 | $0.00 | See FINRA Report |
| Danny Eugene Ward | 458669 | 2 | 05/18/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Charles Haack | 2796834 | 3 | 04/20/2015 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| James D Zifer | 2884061 | 2 | 12/29/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |