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 |
|---|---|---|---|---|---|---|---|---|
| Billy Wayne Shank | 4829362 | 1 | 02/07/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy William Sackett | 2010125 | 5 | 11/07/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Raleigh Edward Kraft | 1036719 | 5 | 10/24/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Howard Bart Raff | 4307069 | 4 | 08/15/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Frederick Arthur Thoms | 2864800 | 1 | 07/20/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffery Thomas Kellett | 1356575 | 1 | 06/30/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Christopher Matthews | 4954733 | 5 | 05/13/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Christopher Matthews | 4954733 | 5 | 05/06/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy William Sackett | 2010125 | 5 | 03/28/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Christopher Matthews | 4954733 | 5 | 03/28/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |