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 |
|---|---|---|---|---|---|---|---|---|
| Scott Dwane Walker | 4164455 | 2 | 07/08/2013 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| James Ronald Rawls | 1447421 | 3 | 07/14/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Scott Dwane Walker | 4164455 | 2 | 08/31/2009 | Customer Dispute | Denied | $58,781.30 | $0.00 | See FINRA Report |
| Michael Leroy Audi | 6941055 | 4 | 07/16/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Dvorak | 5514660 | 1 | 01/06/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Ronald Rawls | 1447421 | 3 | 11/06/2008 | Customer Dispute | Closed-No Action | $113,000.00 | $0.00 | See FINRA Report |
| James Ronald Rawls | 1447421 | 3 | 07/29/2004 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Matthew Dean Gill | 7017114 | 1 | 09/04/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Leroy Audi | 6941055 | 4 | 04/11/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Leroy Audi | 6941055 | 4 | 12/24/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |