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 |
|---|---|---|---|---|---|---|---|---|
| Kathy Anderson Wilson | 1718255 | 2 | 06/13/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathan David Heppner | 7483058 | 1 | 03/01/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Eric Brown | 6312446 | 1 | 05/23/2022 | Customer Dispute | Settled | $9,122.27 | $0.00 | See FINRA Report |
| Robert Wayne Smith | 2508186 | 1 | 05/03/2022 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Vaughn Badenhorst | 5726579 | 5 | 03/17/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vaughn Badenhorst | 5726579 | 5 | 03/17/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vaughn Badenhorst | 5726579 | 5 | 03/17/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vaughn Badenhorst | 5726579 | 5 | 03/17/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory William Glynn | 5892880 | 3 | 06/07/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latorya Tanyell Brown-Bailey | 7544216 | 1 | 04/07/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |