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 |
|---|---|---|---|---|---|---|---|---|
| Conrad Anthony Tarte | 728899 | 4 | 03/24/2006 | Customer Dispute | Closed-No Action | $21,000.00 | $0.00 | See FINRA Report |
| Kevin Devon Olison | 2362526 | 5 | 03/01/2006 | Customer Dispute | Settled | $7,832.81 | $0.00 | See FINRA Report |
| Conrad Anthony Tarte | 728899 | 4 | 02/08/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eddy Han Tak Shum | 1856001 | 6 | 12/17/2004 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Eddy Han Tak Shum | 1856001 | 6 | 09/10/2004 | Customer Dispute | Settled | $860,000.00 | $0.00 | See FINRA Report |
| Pamela Reid Settlage | 1636732 | 5 | 07/22/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William Paul Morgan | 1532049 | 1 | 07/19/2004 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| 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 |