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 May | 4652224 | 1 | 06/12/2018 | Customer Dispute | Denied | $32,500.00 | $0.00 | See FINRA Report |
| Leonard Richard Simpson | 1755726 | 1 | 09/09/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Michael Parry | 1902176 | 2 | 07/23/2013 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Howard James Buck | 1541938 | 2 | 04/27/2012 | Customer Dispute | Denied | $23,700.00 | $0.00 | See FINRA Report |
| Matthew Keith Nelson | 4050793 | 6 | 12/02/2011 | Customer Dispute | Denied | $57,655.90 | $0.00 | See FINRA Report |
| Garth James Lurvey | 4729301 | 4 | 01/20/2011 | Customer Dispute | Denied | $5,554.92 | $0.00 | See FINRA Report |
| Garth James Lurvey | 4729301 | 4 | 06/18/2010 | Customer Dispute | Denied | $5,849.00 | $0.00 | See FINRA Report |
| Terri Lynn Lewis | 1573037 | 3 | 06/11/2010 | Customer Dispute | Denied | $10,737.80 | $0.00 | See FINRA Report |
| Bryan Eric Schuenemann | 4634242 | 2 | 10/14/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dawn Elizabeth Kiesow Potts | 2629627 | 1 | 01/08/2009 | Customer Dispute | Denied | $66,121.10 | $0.00 | See FINRA Report |