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 |
|---|---|---|---|---|---|---|---|---|
| Kimberly Ellen Arthur | 4391863 | 2 | 02/21/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kimberly Ellen Arthur | 4391863 | 2 | 01/03/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Howard Fuller | 2221854 | 2 | 08/26/2011 | Customer Dispute | Award / Judgment | $81,001.80 | $116,950.00 | See FINRA Report |
| Matthew Howard Fuller | 2221854 | 2 | 01/25/2000 | Customer Dispute | Denied | $13,877.20 | $0.00 | See FINRA Report |
| Philip Jeffrey Brooks | 835586 | 4 | 07/01/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Philip Jeffrey Brooks | 835586 | 4 | 12/17/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Jeffrey Brooks | 835586 | 4 | 07/19/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Philip Jeffrey Brooks | 835586 | 4 | 10/15/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |