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 William Pollock | 6564272 | 1 | 06/30/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephanie Lynn West | 6151646 | 1 | 09/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Douglas Robinson | 4718191 | 2 | 09/03/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Curtis Lee Lyman | 1407264 | 5 | 10/23/2013 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Curtis Lee Lyman | 1407264 | 5 | 10/23/2013 | Customer Dispute | Settled | $1,100,000.00 | $0.00 | See FINRA Report |
| Michael Douglas Robinson | 4718191 | 2 | 11/10/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Curtis Lee Lyman | 1407264 | 5 | 10/22/2010 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Curtis Lee Lyman | 1407264 | 5 | 04/12/2010 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Curtis Lee Lyman | 1407264 | 5 | 03/10/2010 | Customer Dispute | Settled | $4,400,000.00 | $0.00 | See FINRA Report |