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FINRA Broker Disclosures for

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.

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Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Brent Edmund McGibbon2307005109/13/2021Employment Separation After Allegations$0.00$0.00See FINRA Report
James Baker Peters5113934105/31/2018Customer DisputeSettled$6,362.72$0.00See FINRA Report
Timothy Owings Waters3083977103/06/1997CriminalFinal Disposition$0.00$0.00See FINRA Report

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