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 |
|---|---|---|---|---|---|---|---|---|
| Lacey E Buteyn | 4420482 | 2 | 07/15/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard S Siminou | 5605796 | 5 | 11/10/2016 | Customer Dispute | Closed-No Action | $12,000.00 | $0.00 | See FINRA Report |
| Douglas E Dort | 2892471 | 1 | 09/21/2010 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| James Anthony Parrish | 4623703 | 3 | 03/16/2009 | Customer Dispute | Closed-No Action | $248,428.00 | $0.00 | See FINRA Report |
| Steven George Collins | 1587182 | 8 | 10/13/2008 | Customer Dispute | Closed-No Action | $70,843.10 | $0.00 | See FINRA Report |
| Jeannan Castleberry Brewer | 4053759 | 4 | 12/07/2007 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Edwards Grimm | 2702276 | 3 | 05/19/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |