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 |
|---|---|---|---|---|---|---|---|---|
| James Anthony Parrish | 4623703 | 3 | 06/21/2023 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Gregory John Richards | 1339012 | 7 | 05/15/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard S Siminou | 5605796 | 5 | 05/11/2023 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Gregory John Richards | 1339012 | 7 | 04/14/2023 | Customer Dispute | Settled | $499,999.00 | $0.00 | See FINRA Report |
| Gregory John Richards | 1339012 | 7 | 12/29/2022 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| Gregory John Richards | 1339012 | 7 | 07/06/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Daniel M King | 5954543 | 5 | 03/01/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tyler Thomas Bashaw | 4922569 | 1 | 07/14/2020 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Conrad Kenneth Branson | 2939162 | 2 | 04/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Norman Bliss | 4463782 | 1 | 03/06/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |