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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas Peter Millard | 1562559 | 2 | 09/01/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jerry Lee Morgan | 1016207 | 2 | 12/20/1995 | Customer Dispute | Award / Judgment | $30,000.00 | $36,766.70 | See FINRA Report |
| Jeffrey Martin Winter | 3259009 | 3 | 11/06/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Angus Guy | 1726805 | 3 | 03/29/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frank Edward Oliver | 6285198 | 3 | 03/22/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David C Selden | 1587100 | 1 | 09/14/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jerry Lee Morgan | 1016207 | 2 | 03/05/1993 | Customer Dispute | Settled | $3,360,590.00 | $0.00 | See FINRA Report |
| Carolyn Shirley Bishop | 1628197 | 1 | 08/28/1991 | Customer Dispute | Award / Judgment | $85,000.00 | $99,253.00 | See FINRA Report |
| Michael H Distefano | 3126066 | 1 | 11/07/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allen Warren Trimble | 2121752 | 1 | 02/28/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |