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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Richard Humphreys | 820181 | 3 | 07/01/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Staci Lynne Jackson | 3193371 | 1 | 03/10/2010 | Customer Dispute | Denied | $77,400.00 | $0.00 | See FINRA Report |
| Charles Raymond Hardee | 1886976 | 3 | 01/25/2010 | Customer Dispute | Settled | $30,031.80 | $0.00 | See FINRA Report |
| Samuel Richard Humphreys | 820181 | 3 | 05/11/2007 | Customer Dispute | Denied | $21,000.00 | $0.00 | See FINRA Report |
| Charles Raymond Hardee | 1886976 | 3 | 03/28/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James McGee Walker | 1108895 | 4 | 05/12/2005 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| James McGee Walker | 1108895 | 4 | 11/08/2004 | Customer Dispute | Settled | $7,342.55 | $0.00 | See FINRA Report |
| Charles Raymond Hardee | 1886976 | 3 | 02/03/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel Richard Humphreys | 820181 | 3 | 05/13/1992 | Customer Dispute | Award / Judgment | $15,000.00 | $15,000.00 | See FINRA Report |
| James McGee Walker | 1108895 | 4 | 11/22/1986 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |