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 |
|---|---|---|---|---|---|---|---|---|
| Mark Thomas Hogan | 3194646 | 8 | 02/04/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Thomas Hogan | 3194646 | 8 | 01/20/2009 | Judgment / Lien | $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 |
| Mark Andrew Giesting | 4590149 | 1 | 12/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Elmer Robert Branch | 2751881 | 3 | 11/14/2008 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Stephen Joseph Cicali | 2371993 | 1 | 05/06/2008 | Customer Dispute | Denied | $12,607.00 | $0.00 | See FINRA Report |
| Mark Thomas Hogan | 3194646 | 8 | 04/22/2008 | Judgment / Lien | $0.00 | $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 |