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 |
|---|---|---|---|---|---|---|---|---|
| James Alan Schumaker | 6829407 | 1 | 02/18/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank O Akridge | 4242013 | 2 | 06/28/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frank O Akridge | 4242013 | 2 | 05/13/2019 | Customer Dispute | Pending | $85,000.00 | $0.00 | See FINRA Report |
| Steven Anthony Bassetto | 1752333 | 2 | 09/04/2018 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Stacey Dean Andres | 6373652 | 1 | 08/20/2018 | Customer Dispute | Award / Judgment | $100,000.00 | $100,000.00 | See FINRA Report |
| Steven Anthony Bassetto | 1752333 | 2 | 07/02/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle R Lewie | 2403425 | 1 | 07/15/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paul Allan Dyer | 3131390 | 3 | 05/23/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Allan Dyer | 3131390 | 3 | 12/12/2007 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Paul Allan Dyer | 3131390 | 3 | 10/04/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |