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 |
|---|---|---|---|---|---|---|---|---|
| Seymour Robert Slatkin | 4452423 | 1 | 04/02/2008 | Customer Dispute | Settled | $575,000.00 | $0.00 | See FINRA Report |
| Larrie Dean Hoover | 2802218 | 3 | 02/11/2008 | Customer Dispute | Settled | $111,263.00 | $0.00 | See FINRA Report |
| James Jacob Fowkes | 2232589 | 1 | 01/20/2006 | Customer Dispute | Settled | $367,000.00 | $0.00 | See FINRA Report |
| Frank Owings Smith | 2269355 | 3 | 04/13/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frank Owings Smith | 2269355 | 3 | 08/06/2004 | Customer Dispute | Settled | $41,640.00 | $0.00 | See FINRA Report |
| Larrie Dean Hoover | 2802218 | 3 | 07/02/2004 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Travis Aaron Hadwin | 2165987 | 3 | 10/02/2003 | Customer Dispute | Settled | $3,350,000.00 | $0.00 | See FINRA Report |
| Richard Godfrey | 2323709 | 2 | 12/13/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Robert Francis Carrigg | 2630512 | 2 | 10/25/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Godfrey | 2323709 | 2 | 10/10/2002 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |