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 |
|---|---|---|---|---|---|---|---|---|
| Roger Lee Ford | 1537481 | 1 | 09/09/2019 | Customer Dispute | Denied | $15,607.20 | $0.00 | See FINRA Report |
| Philip David Meese | 7759875 | 3 | 09/06/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Craig Kirsner | 2675082 | 3 | 08/12/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joshua Michael Blaker | 4024201 | 1 | 06/07/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Neil Stell | 6553446 | 2 | 05/31/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gregory Neil Stell | 6553446 | 2 | 02/25/2019 | Customer Dispute | Settled | $32,733.60 | $0.00 | See FINRA Report |
| James William Hanna | 6435774 | 3 | 02/22/2019 | Customer Dispute | Settled | $921,000.00 | $0.00 | See FINRA Report |
| Joseph Oliva Donti | 6469595 | 3 | 01/09/2019 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |
| Philip David Meese | 7759875 | 3 | 12/21/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nathaniel Joseph Miller | 6422142 | 1 | 12/03/2018 | Customer Dispute | Denied | $14,279.20 | $0.00 | See FINRA Report |