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 |
|---|---|---|---|---|---|---|---|---|
| William Michael Simpson | 1111350 | 2 | 04/22/2022 | Customer Dispute | Closed-No Action | $28,000.00 | $0.00 | See FINRA Report |
| Teresa Jean Block Meyer | 1059009 | 1 | 02/22/2022 | Customer Dispute | Denied | $180,000.00 | $0.00 | See FINRA Report |
| Matthew S Gurule | 6753098 | 3 | 12/03/2020 | Customer Dispute | Settled | $74,750.00 | $0.00 | See FINRA Report |
| Hong Chang | 6682042 | 1 | 10/27/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Beau Jeffrey Jorgensen | 4907411 | 1 | 01/24/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Cynthia Rose Schulte | 1866991 | 1 | 05/03/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Dudley Massey | 3133056 | 1 | 03/23/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas Lee Holtmeier | 4406390 | 1 | 04/12/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Shurley | 4150634 | 1 | 07/13/2016 | Customer Dispute | Denied | $14,609.00 | $0.00 | See FINRA Report |
| Thomas Scott Nevitt | 4070325 | 2 | 12/31/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |