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 |
|---|---|---|---|---|---|---|---|---|
| Kelly Albert Rushing | 407409 | 2 | 04/22/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Morris Scott Gottesman | 1810075 | 3 | 12/14/2001 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Gregory Todd Lavergne | 1935068 | 1 | 10/10/2000 | Customer Dispute | Pending | $850,000.00 | $0.00 | See FINRA Report |
| Patrick Michael Mendenhall | 1068809 | 4 | 10/09/2000 | Customer Dispute | Settled | $1,446,340.00 | $0.00 | See FINRA Report |
| John Austin Howle | 1284162 | 5 | 04/01/1987 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Austin Howle | 1284162 | 5 | 03/01/1987 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Kelly Albert Rushing | 407409 | 2 | 05/24/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |