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 |
|---|---|---|---|---|---|---|---|---|
| Michael H Miller | 6258653 | 1 | 07/01/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sara Renee Hornick | 6018017 | 6 | 12/11/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James D Zifer | 2884061 | 2 | 12/06/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Theresa Anne Markham | 1881342 | 2 | 10/28/2013 | Judgment / Lien | $0.00 | $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 |
| Jonathan Moss Frances | 5826715 | 1 | 01/09/2012 | Judgment / Lien | $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 |
| Sara Renee Hornick | 6018017 | 6 | 03/16/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sara Renee Hornick | 6018017 | 6 | 07/28/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |