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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Grant | 4490611 | 1 | 05/23/2024 | Customer Dispute | Settled | $27,745.90 | $0.00 | See FINRA Report |
| Louis Stephen Nemeth | 1465420 | 1 | 02/06/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kenneth Thomas Speight | 4804919 | 1 | 03/10/2022 | Customer Dispute | Settled | $30,300.00 | $0.00 | See FINRA Report |
| Eugene Joseph Garner | 4892619 | 2 | 01/11/2022 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| Steven Howard Orr | 1583467 | 4 | 02/04/2021 | Customer Dispute | Settled | $38,000.00 | $0.00 | See FINRA Report |
| Joseph Aloysius Dunn | 2091676 | 3 | 10/03/2019 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Soonhee Kim Cho | 2962660 | 3 | 05/24/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Aloysius Dunn | 2091676 | 3 | 01/02/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Billy Wayne Shank | 4829362 | 1 | 02/07/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mary Grace Musuneggi | 1020162 | 1 | 01/27/2016 | Customer Dispute | Settled | $5,695.54 | $0.00 | See FINRA Report |