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 |
|---|---|---|---|---|---|---|---|---|
| Wendy Jane Wallace | 6529917 | 2 | 04/30/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Norman David Eccarius | 2283467 | 2 | 11/25/2011 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Brett Eric Gottlieb | 3245674 | 2 | 09/01/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric James Bludau | 4570957 | 2 | 07/20/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brandon Beck | 5168802 | 2 | 06/13/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kathleen Anne Nolan | 859895 | 1 | 05/12/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alma Dan Frandsen | 5540719 | 1 | 05/04/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert William Crane | 5327582 | 6 | 01/12/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Charles Lantz | 5897420 | 1 | 11/01/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wendy Jane Wallace | 6529917 | 2 | 10/25/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |