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 |
|---|---|---|---|---|---|---|---|---|
| Brian William Harrold | 4757333 | 1 | 03/03/2010 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Frank Edward Oliver | 6285198 | 3 | 11/04/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Steven Heifer | 3028582 | 1 | 10/26/2009 | Customer Dispute | Denied | $184,000.00 | $0.00 | See FINRA Report |
| Sara Renee Hornick | 6018017 | 6 | 07/29/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary Charles Haack | 2796834 | 3 | 07/17/2009 | Customer Dispute | Closed-No Action | $85,000.00 | $0.00 | See FINRA Report |
| Oscar Vega | 2741444 | 1 | 07/08/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Clayton Douglas Turner | 5072692 | 1 | 03/08/2009 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Sara Renee Hornick | 6018017 | 6 | 09/26/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Martin Winter | 3259009 | 3 | 09/22/2008 | Customer Dispute | Withdrawn | $35,000.00 | $0.00 | See FINRA Report |
| Matthew John Green | 6158605 | 2 | 06/17/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |