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 |
|---|---|---|---|---|---|---|---|---|
| James Jonas Terrence Edwar Keenan | 7121758 | 1 | 11/12/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Browne McShay | 5380800 | 1 | 11/11/2014 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Albert Lucas | 7499144 | 1 | 11/05/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick William Anderson | 6183759 | 1 | 10/31/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Morgan Mae Foster | 5063102 | 1 | 10/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Hladon Caldwell | 4190190 | 1 | 10/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Suzette Blasini | 7426092 | 1 | 10/27/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jayne Brayboy Back | 7456075 | 1 | 10/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David A Roberson | 5287855 | 1 | 10/16/2014 | Customer Dispute | Denied | $6,532.28 | $0.00 | See FINRA Report |
| Dorothy Fulford Browning | 6453131 | 5 | 10/15/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |