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 |
|---|---|---|---|---|---|---|---|---|
| David Alan Kaiser | 1877245 | 3 | 10/14/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Alan Kaiser | 1877245 | 3 | 10/14/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Alan Kaiser | 1877245 | 3 | 10/08/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William John George | 2497820 | 3 | 04/01/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William John George | 2497820 | 3 | 12/04/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Jonathan Bettis | 1651387 | 3 | 07/23/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Daniel Welsh | 1365388 | 1 | 04/08/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |