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 |
|---|---|---|---|---|---|---|---|---|
| Vincent Connor Fuchs | 6602274 | 2 | 09/20/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Vincent Connor Fuchs | 6602274 | 2 | 12/28/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roy G Popham | 1511128 | 3 | 10/05/2018 | Customer Dispute | Settled | $146,266.00 | $0.00 | See FINRA Report |
| Shaina Buegeler | 6627850 | 1 | 02/11/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Paul Kucholtz | 4359592 | 1 | 01/08/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Neal Allen Hiett | 2099325 | 1 | 10/23/2015 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Roy G Popham | 1511128 | 3 | 03/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roy G Popham | 1511128 | 3 | 03/07/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |