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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Steven Patterson | 6182775 | 1 | 01/09/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Malinda Ann Choate | 3254125 | 2 | 03/14/2006 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |
| John Peter Bamberger | 4339068 | 3 | 08/01/2005 | Customer Dispute | Settled | $1,848.00 | $0.00 | See FINRA Report |
| Robert Holland Cox | 2660341 | 1 | 01/04/2005 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Brian Christopher Guild | 6419929 | 1 | 06/01/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Erik James | 2237571 | 1 | 05/17/2004 | Customer Dispute | Settled | $28,843.70 | $0.00 | See FINRA Report |
| Bradford Kendall Brinkley | 5829187 | 1 | 04/28/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Fred Tommy van Dyck | 4718155 | 2 | 01/05/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William O'Connell Baylog | 4119433 | 1 | 10/31/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Carl Halstead | 4120352 | 2 | 10/31/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |