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 |
|---|---|---|---|---|---|---|---|---|
| Richard Noel Trotta | 1300940 | 1 | 05/28/2020 | Customer Dispute | Denied | $54,000.30 | $0.00 | See FINRA Report |
| Jeannette Ann Adcock | 1432053 | 15 | 04/09/2019 | Customer Dispute | Denied | $11,335.30 | $0.00 | See FINRA Report |
| Jeannette Ann Adcock | 1432053 | 15 | 11/06/2018 | Customer Dispute | Denied | $71,500.00 | $0.00 | See FINRA Report |
| Jeannette Ann Adcock | 1432053 | 15 | 09/05/2018 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Jeannette Ann Adcock | 1432053 | 15 | 07/11/2018 | Customer Dispute | Denied | $388,488.00 | $0.00 | See FINRA Report |
| Bradley Louis Rozema | 703960 | 4 | 10/30/2013 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Jon Keith Stucker | 1094241 | 3 | 08/16/2012 | Customer Dispute | Denied | $55,000.00 | $0.00 | See FINRA Report |
| Bradford Cooper Hagerman | 233319 | 4 | 05/07/2010 | Customer Dispute | Denied | $377,000.00 | $0.00 | See FINRA Report |
| Cathey Elaine Fisher | 5302882 | 2 | 10/21/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Andrew Jeffrey Southworth | 2764040 | 2 | 07/25/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |