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 |
|---|---|---|---|---|---|---|---|---|
| Kathleen Anne Nolan | 859895 | 1 | 05/12/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert William Crane | 5327582 | 6 | 01/12/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Anthony Pruitt | 4081821 | 1 | 08/11/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Wallace Smith | 4844156 | 2 | 10/02/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James William Hanna | 6435774 | 3 | 07/28/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Neil Bruce Porter | 2129010 | 1 | 06/16/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James S Boys | 721319 | 3 | 05/16/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Henry Massey | 2395900 | 4 | 06/21/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Darcy Lee Bergen | 6568462 | 4 | 01/22/2002 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph D Uradnik | 2949407 | 3 | 12/18/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |