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 |
|---|---|---|---|---|---|---|---|---|
| Robert Michael Wasson | 7497712 | 1 | 11/06/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Parker | 4895464 | 1 | 10/01/2013 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James Edward Kiley | 4388156 | 5 | 10/01/2013 | Customer Dispute | Denied | $120,000.00 | $0.00 | See FINRA Report |
| Timothy James Dean | 2407351 | 1 | 09/24/2013 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Andrew Lee Weinberg | 5444453 | 2 | 09/24/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Marshall Conrad | 6218644 | 1 | 09/11/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregg Shepard Sherman | 5510672 | 1 | 09/04/2013 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Dustin Thomas Rodgers | 6612718 | 1 | 08/30/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Handal | 5860525 | 1 | 08/29/2013 | Customer Dispute | Denied | $6,878.92 | $0.00 | See FINRA Report |
| Miro Fain | 6049272 | 1 | 08/18/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |