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 Floyd Garraway | 7132872 | 3 | 07/26/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Floyd Garraway | 7132872 | 3 | 07/12/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Floyd Garraway | 7132872 | 3 | 12/20/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Ray Carpenter | 4492120 | 1 | 01/05/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Andrew Ricks | 6244408 | 1 | 08/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Douglas Creel | 2191409 | 1 | 04/19/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |