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 |
|---|---|---|---|---|---|---|---|---|
| Richard David Swanson | 1382295 | 1 | 11/10/2011 | Customer Dispute | Settled | $6,500.00 | $0.00 | See FINRA Report |
| Shawn Takao Okumura | 2855509 | 1 | 11/07/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jodie Michelle Booth | 4702192 | 1 | 11/03/2011 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Jonathan William Lonske | 2594921 | 4 | 09/23/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Deborah Julie Trouw | 5282284 | 2 | 09/12/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Whittington Davis | 2137957 | 2 | 09/02/2011 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Robert Ray Bennie | 2560709 | 7 | 07/08/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Bernard Wiser | 470549 | 6 | 05/23/2011 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Mitchell Brian Walk | 3195375 | 6 | 05/04/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin Douglass Ellman | 2116368 | 4 | 04/25/2011 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |