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 |
|---|---|---|---|---|---|---|---|---|
| Mark Anthony Pruitt | 4081821 | 1 | 08/11/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Dee Fullmer | 3061744 | 1 | 06/10/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joseph D Uradnik | 2949407 | 3 | 05/14/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jose Fernado Echeverri | 1448468 | 1 | 10/03/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| George Wallace Smith | 4844156 | 2 | 10/02/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Wallace Smith | 4844156 | 2 | 03/28/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Francis Anthony Higgins | 2452995 | 1 | 06/07/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Raimund Marx | 2489343 | 1 | 02/21/2007 | Customer Dispute | Closed-No Action | $119,048.00 | $0.00 | See FINRA Report |
| John Paul Fawson | 4277635 | 1 | 01/08/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Douglas Russell | 4667804 | 2 | 05/10/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |