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 |
| 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 |
| Timothy Joseph | 4393016 | 2 | 09/24/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Monica Stanley | 6060058 | 1 | 01/11/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward John Daffron | 4720935 | 1 | 04/08/2013 | Customer Dispute | Settled | $21,859.00 | $0.00 | See FINRA Report |
| Phillip Wayne Hart | 858074 | 3 | 08/06/2009 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Kathy Anderson Wilson | 1718255 | 2 | 02/17/2009 | Customer Dispute | Denied | $223,762.00 | $0.00 | See FINRA Report |
| Larry Christopher Potts | 5028125 | 1 | 10/06/2008 | Customer Dispute | Settled | $420,000.00 | $0.00 | See FINRA Report |
| Phillip Wayne Hart | 858074 | 3 | 04/16/2008 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |