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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Joseph Cicali | 2371993 | 1 | 05/06/2008 | Customer Dispute | Denied | $12,607.00 | $0.00 | See FINRA Report |
| Matthew Keith Nelson | 4050793 | 6 | 01/09/2008 | Customer Dispute | Denied | $14,655.90 | $0.00 | See FINRA Report |
| Terri Lynn Lewis | 1573037 | 3 | 01/09/2008 | Customer Dispute | Denied | $14,655.90 | $0.00 | See FINRA Report |
| Karin Lynn Tyson | 2595734 | 2 | 07/18/2005 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Howard James Buck | 1541938 | 2 | 03/12/2003 | Customer Dispute | Denied | $87,000.00 | $0.00 | See FINRA Report |
| Richard Michael Parry | 1902176 | 2 | 01/15/2003 | Customer Dispute | Denied | $103,500.00 | $0.00 | See FINRA Report |
| Tim David Hakes | 2399374 | 4 | 01/06/2003 | Customer Dispute | Denied | $400,000.00 | $0.00 | See FINRA Report |
| Tim David Hakes | 2399374 | 4 | 07/10/2002 | Customer Dispute | Denied | $64,832.00 | $0.00 | See FINRA Report |