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 |
|---|---|---|---|---|---|---|---|---|
| Dale Self | 2782162 | 3 | 07/30/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dale Self | 2782162 | 3 | 03/02/2023 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| Terry Morris Anderson | 2374045 | 10 | 03/17/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terry Morris Anderson | 2374045 | 10 | 02/28/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Terry Morris Anderson | 2374045 | 10 | 02/28/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William David Frier | 1029781 | 4 | 02/18/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William David Frier | 1029781 | 4 | 01/16/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William David Frier | 1029781 | 4 | 02/07/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Lynn Owens | 6447116 | 1 | 01/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William David Frier | 1029781 | 4 | 10/08/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |