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 |
|---|---|---|---|---|---|---|---|---|
| David Foote Gwynn | 232599 | 1 | 02/11/2020 | Customer Dispute | Withdrawn | $7,193.00 | $0.00 | See FINRA Report |
| Michael Joseph O'Malley | 810816 | 2 | 01/23/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Raleigh Edward Kraft | 1036719 | 5 | 12/29/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Penn van Putten Vink | 3107572 | 2 | 10/16/2019 | Customer Dispute | Denied | $32,135.00 | $0.00 | See FINRA Report |
| Robert Willis Lester | 1831092 | 4 | 10/16/2019 | Customer Dispute | Denied | $32,135.00 | $0.00 | See FINRA Report |
| Allie Renee King | 6681436 | 2 | 10/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Aloysius Dunn | 2091676 | 3 | 10/03/2019 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Raleigh Edward Kraft | 1036719 | 5 | 09/27/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Allie Renee King | 6681436 | 2 | 08/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Stephen Wallman | 2748286 | 2 | 08/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |