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 |
|---|---|---|---|---|---|---|---|---|
| Lloyd Douglas Hodgin | 2954267 | 5 | 03/07/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 10/18/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 11/19/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 02/25/2019 | Customer Dispute | Award / Judgment | $445,000.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 11/09/2015 | Customer Dispute | Settled | $2,160,500.00 | $0.00 | See FINRA Report |
| Lloyd Douglas Hodgin | 2954267 | 5 | 11/09/2015 | Customer Dispute | Settled | $2,160,500.00 | $0.00 | See FINRA Report |
| Lloyd Douglas Hodgin | 2954267 | 5 | 10/05/2012 | Customer Dispute | Award / Judgment | $0.00 | $30,000.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 04/05/2011 | Customer Dispute | Settled | $330,000.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 04/04/2011 | Customer Dispute | Settled | $585,000.00 | $0.00 | See FINRA Report |
| John Richard Carlson | 3098410 | 19 | 12/16/2010 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |