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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Matthew Keith Nelson | 4050793 | 6 | 01/22/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Thomas Hogan | 3194646 | 8 | 08/21/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Hogan | 3194646 | 8 | 05/21/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Howard James Buck | 1541938 | 2 | 04/27/2012 | Customer Dispute | Denied | $23,700.00 | $0.00 | See FINRA Report |
| William Adolph Steih | 2985198 | 1 | 01/06/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Matthew Keith Nelson | 4050793 | 6 | 12/02/2011 | Customer Dispute | Denied | $57,655.90 | $0.00 | See FINRA Report |
| Richard Norman Murray | 2398820 | 4 | 05/20/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Hogan | 3194646 | 8 | 05/05/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |