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 |
|---|---|---|---|---|---|---|---|---|
| Bradley Christopher Lawing | 4986486 | 11 | 11/07/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Christopher Lawing | 4986486 | 11 | 09/26/2017 | Customer Dispute | Denied | $9,998.00 | $0.00 | See FINRA Report |
| Bradley Christopher Lawing | 4986486 | 11 | 08/15/2017 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Bradley Christopher Lawing | 4986486 | 11 | 05/15/2017 | Customer Dispute | Settled | $51,756.90 | $0.00 | See FINRA Report |
| Bradley Christopher Lawing | 4986486 | 11 | 05/12/2017 | Customer Dispute | Denied | $27,900.40 | $0.00 | See FINRA Report |
| Bradley Christopher Lawing | 4986486 | 11 | 11/28/2016 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Bradley Christopher Lawing | 4986486 | 11 | 09/12/2016 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Bradley Christopher Lawing | 4986486 | 11 | 09/02/2016 | Customer Dispute | Denied | $26,000.00 | $0.00 | See FINRA Report |
| Bradley Christopher Lawing | 4986486 | 11 | 09/02/2016 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Katie Jo Duncan | 7000948 | 1 | 09/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |