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 |
|---|---|---|---|---|---|---|---|---|
| Robert Alton Uptegraff | 1973068 | 3 | 03/09/2004 | Customer Dispute | Settled | $291,135.00 | $0.00 | See FINRA Report |
| Kevin Joseph Conway | 1333996 | 1 | 11/24/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eddy Han Tak Shum | 1856001 | 6 | 11/10/2003 | Customer Dispute | Settled | $386,645.00 | $0.00 | See FINRA Report |
| Terry Wayne Stanfill | 1868610 | 1 | 06/04/2003 | Customer Dispute | Denied | $64,000.00 | $0.00 | See FINRA Report |
| Eddy Han Tak Shum | 1856001 | 6 | 05/23/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| James Penn van Putten Vink | 3107572 | 2 | 08/26/2002 | Customer Dispute | Withdrawn | $195,000.00 | $0.00 | See FINRA Report |
| Robert Willis Lester | 1831092 | 4 | 08/26/2002 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robert Willis Lester | 1831092 | 4 | 07/02/2002 | Customer Dispute | Closed-No Action | $12,000.00 | $0.00 | See FINRA Report |
| Eddy Han Tak Shum | 1856001 | 6 | 04/19/2001 | Customer Dispute | Closed-No Action | $28,254.20 | $0.00 | See FINRA Report |
| Mark Philip Skibbie | 2178693 | 1 | 04/18/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |