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 |
|---|---|---|---|---|---|---|---|---|
| Charles Edward Howell | 4757297 | 4 | 04/10/2019 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Charles Edward Howell | 4757297 | 4 | 10/24/2018 | Customer Dispute | Closed-No Action | $6,603.93 | $0.00 | See FINRA Report |
| Robert Gardner | 2131726 | 3 | 10/15/2018 | Customer Dispute | Settled | $1,134,470.00 | $0.00 | See FINRA Report |
| Michael Avery Mercer | 813556 | 1 | 11/20/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Barrows | 2933260 | 8 | 08/09/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Edward Howell | 4757297 | 4 | 08/04/2015 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Guy B Deemer | 2504584 | 6 | 07/07/2014 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Carlos Robert Romero | 2468255 | 3 | 06/30/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Moss Madden | 2883455 | 2 | 06/10/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carlos Robert Romero | 2468255 | 3 | 08/06/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |