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 |
|---|---|---|---|---|---|---|---|---|
| Philip E Lavelle | 2778584 | 1 | 07/14/2020 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Jeannette Ann Adcock | 1432053 | 15 | 08/07/2017 | Customer Dispute | Closed-No Action | $28,516.00 | $0.00 | See FINRA Report |
| Wanda Jo Ross | 3112244 | 4 | 12/24/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Wanda Jo Ross | 3112244 | 4 | 12/18/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Wanda Jo Ross | 3112244 | 4 | 12/09/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert James Caplinger | 1437425 | 1 | 11/15/2006 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |