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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Patrick O'Halloran | 1391521 | 1 | 09/05/2000 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James Leslie Clarren | 2324494 | 1 | 06/27/2000 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Wendell Cory Franklin | 2484466 | 1 | 10/04/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |