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 |
|---|---|---|---|---|---|---|---|---|
| Ross S Layton | 4465321 | 2 | 01/30/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Ross S Layton | 4465321 | 2 | 01/30/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Mark Sindrich | 1097529 | 2 | 11/29/2018 | Customer Dispute | Settled | $218,956.00 | $0.00 | See FINRA Report |
| Gerald Russell Wolsfelt | 4699014 | 1 | 10/24/2018 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Chad Alan Keim | 2516391 | 6 | 09/24/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher P Ferrara | 4036895 | 2 | 09/22/2018 | Customer Dispute | Settled | $90,208.30 | $0.00 | See FINRA Report |
| William J Thompson | 4753071 | 2 | 06/04/2018 | Customer Dispute | Denied | $168,000.00 | $0.00 | See FINRA Report |
| Chad Alan Keim | 2516391 | 6 | 05/08/2018 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Christopher James Bradshaw | 2929353 | 4 | 03/09/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Willdon Barnes | 1058851 | 1 | 03/09/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |