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 |
|---|---|---|---|---|---|---|---|---|
| Beth Ann Richardson | 2056964 | 1 | 02/28/2018 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Peter George Cohlmia | 5734382 | 1 | 02/21/2018 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Karen Shaw Cunningham | 1134960 | 3 | 02/13/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jay Hale Cavanagh | 2159026 | 1 | 01/03/2018 | Customer Dispute | Denied | $185,819.00 | $0.00 | See FINRA Report |
| Jeremy Nathan Swank | 3168639 | 3 | 12/29/2017 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| Jonathan William Lonske | 2594921 | 4 | 10/03/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mitchell Brian Walk | 3195375 | 6 | 08/14/2017 | Customer Dispute | Settled | $72,000.00 | $0.00 | See FINRA Report |
| Scott Eric Tobe | 4264479 | 1 | 06/29/2017 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Herbert Carl Smith | 427804 | 1 | 05/31/2017 | Customer Dispute | Settled | $2,097,930.00 | $0.00 | See FINRA Report |
| Kevin James Bates | 1041009 | 1 | 04/13/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |