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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Wayne Ottman | 1010394 | 5 | 09/15/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Wayne Ottman | 1010394 | 5 | 10/01/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Wayne Ottman | 1010394 | 5 | 09/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Wayne Ottman | 1010394 | 5 | 04/09/2001 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Thomas Wayne Ottman | 1010394 | 5 | 11/01/1983 | Customer Dispute | Award / Judgment | $33,525.00 | $15,150.00 | See FINRA Report |