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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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Displaying 21-30 out of 88 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Michael James Germano4660076206/23/2011Customer DisputeDenied$9,370.99$0.00See FINRA Report
Brad Lee Chumley3133581205/26/2011Customer DisputeClosed-No Action$5,400.00$0.00See FINRA Report
Robert Michael Baker2706889310/28/2010Customer DisputeSettled$300,000.00$0.00See FINRA Report
John Alexander Rice2269699407/26/2010Customer DisputeSettled$50,000.00$0.00See FINRA Report
Robert Michael Baker2706889305/20/2010Customer DisputeDenied$79,000.00$0.00See FINRA Report
Michael Lee Stradt1290196110/23/2009Customer DisputeDenied$0.00$0.00See FINRA Report
Robert Fayez Ibrahim1509058110/21/2009Customer DisputeSettled$0.00$0.00See FINRA Report
Christopher Evans McAdoo1757312409/24/2009Customer DisputeDenied$850,845.00$0.00See FINRA Report
Charles Miller2933141209/15/2009Customer DisputeSettled$1,500,000.00$0.00See FINRA Report
Larrie Dean Hoover2802218307/08/2009Customer DisputeSettled$24,320.00$0.00See FINRA Report

88 Results

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