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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Joseph McGuire | 1998997 | 1 | 07/20/2020 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Carolyn Butler Howard | 2391466 | 1 | 06/22/2018 | Customer Dispute | Settled | $172,834.00 | $0.00 | See FINRA Report |
| Elizabeth C Bertelsen | 2253105 | 1 | 05/19/2014 | Customer Dispute | Denied | $5,151.00 | $0.00 | See FINRA Report |
| James Paul Ball | 2844925 | 1 | 05/25/2012 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Patricia Hagan May | 2700518 | 1 | 01/28/2008 | Customer Dispute | Denied | $22,485.30 | $0.00 | See FINRA Report |
| Sean Collin Rhodes | 2073622 | 1 | 05/14/2003 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |