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 |
|---|---|---|---|---|---|---|---|---|
| Frank Owings Smith | 2269355 | 3 | 03/26/2009 | Customer Dispute | Denied | $1,125,000.00 | $0.00 | See FINRA Report |
| John Alexander Rice | 2269699 | 4 | 02/23/2009 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Sarah Klawitter Marks | 4246002 | 1 | 11/20/2008 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| David Eric Elwood | 2443931 | 2 | 09/22/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Terry Noel Estes | 4071177 | 3 | 09/12/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Bernard Barry Salzman | 409665 | 3 | 09/05/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| R Chris Nee | 1799853 | 2 | 07/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald Philip Brusca | 724684 | 1 | 05/19/2008 | Customer Dispute | Denied | $70,095.90 | $0.00 | See FINRA Report |
| Anita Jo Humphrey | 4992384 | 1 | 04/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Eric Elwood | 2443931 | 2 | 04/16/2008 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |