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 |
|---|---|---|---|---|---|---|---|---|
| Terri Lynn Lewis | 1573037 | 3 | 07/02/2003 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Sarah Ann Harris | 6607160 | 1 | 03/22/2003 | Criminal | Final Disposition | $0.00 | $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 |
| Timothy Joel Dahlberg | 4664292 | 1 | 10/13/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Dandridge Lea | 1433108 | 1 | 07/30/2001 | Customer Dispute | Pending | $7,510.48 | $0.00 | See FINRA Report |
| Scott James Colangelo | 2699803 | 2 | 04/03/2000 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Richard Norman Murray | 2398820 | 4 | 05/15/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |