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 |
|---|---|---|---|---|---|---|---|---|
| Alan Levine | 3114259 | 1 | 05/24/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Willis Lester | 1831092 | 4 | 03/01/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Glenn Haislip | 714334 | 1 | 07/15/2009 | Customer Dispute | Denied | $45,752.80 | $0.00 | See FINRA Report |
| Daniel Norman Dowd | 2668264 | 1 | 05/01/2009 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Charles Norman Peiffer | 1818413 | 1 | 04/27/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Alton Uptegraff | 1973068 | 3 | 03/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eugene Alan Cheng | 807503 | 1 | 11/21/2008 | Customer Dispute | Denied | $6,302.16 | $0.00 | See FINRA Report |
| John Francis Stohlman | 2213177 | 1 | 11/03/2008 | Customer Dispute | Settled | $9,114.00 | $0.00 | See FINRA Report |
| Richard Horace Hoffman | 247863 | 2 | 09/17/2008 | Customer Dispute | Settled | $39,865.60 | $0.00 | See FINRA Report |
| Kirk Driver Miller | 1587745 | 1 | 07/02/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |