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 |
|---|---|---|---|---|---|---|---|---|
| John Ward Harrison | 3176071 | 3 | 06/18/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Joseph Asta | 4491887 | 1 | 01/20/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sandra Diane Dose | 1320585 | 3 | 12/18/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Ward Harrison | 3176071 | 3 | 01/26/2011 | Customer Dispute | Settled | $193,000.00 | $0.00 | See FINRA Report |
| John Ward Harrison | 3176071 | 3 | 02/04/2002 | Customer Dispute | Denied | $13,400.00 | $0.00 | See FINRA Report |
| Sandra Diane Dose | 1320585 | 3 | 02/22/2001 | Customer Dispute | Denied | $8,500.00 | $0.00 | See FINRA Report |
| Sandra Diane Dose | 1320585 | 3 | 11/14/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |