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 |
|---|---|---|---|---|---|---|---|---|
| Shelley Lynn Scalise | 1927457 | 2 | 07/29/2008 | Customer Dispute | Denied | $15,740.00 | $0.00 | See FINRA Report |
| William Gordon Newsome | 2986886 | 2 | 07/15/2008 | Customer Dispute | Denied | $27,949.00 | $0.00 | See FINRA Report |
| Ryan John Kerr | 4103258 | 1 | 06/04/2008 | Customer Dispute | Denied | $45,150.00 | $0.00 | See FINRA Report |
| David John Loughlin | 4660289 | 1 | 05/30/2008 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Kathy Pao-Fang Chang | 4543719 | 1 | 05/06/2008 | Customer Dispute | Denied | $13,659.00 | $0.00 | See FINRA Report |
| Regina Quigley | 1122069 | 1 | 04/13/2008 | Customer Dispute | Denied | $50,812.00 | $0.00 | See FINRA Report |
| Christopher Stevely Bracy | 5081973 | 2 | 03/31/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Christopher William Dodd | 4052802 | 1 | 03/19/2008 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Peter Arpin | 4602151 | 2 | 03/17/2008 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| James K Ma | 3086127 | 1 | 03/06/2008 | Customer Dispute | Denied | $11,300.00 | $0.00 | See FINRA Report |