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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Michael Grunawalt | 1705352 | 1 | 03/06/2009 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Gary Elroy Barth | 2466996 | 5 | 02/16/2009 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Michael William Bruin | 1779302 | 1 | 02/09/2009 | Customer Dispute | Closed-No Action | $26,000.00 | $0.00 | See FINRA Report |
| David Randall Guttery | 2229460 | 1 | 01/26/2009 | Customer Dispute | Denied | $13,851.00 | $0.00 | See FINRA Report |
| Michael Alan Mumau | 1288895 | 3 | 01/23/2009 | Customer Dispute | Settled | $37,076.00 | $0.00 | See FINRA Report |
| Michael Alan Mumau | 1288895 | 3 | 01/23/2009 | Customer Dispute | Settled | $5,435.00 | $0.00 | See FINRA Report |
| Christopher Bordner Warren | 1946717 | 1 | 01/22/2009 | Customer Dispute | Denied | $141,000.00 | $0.00 | See FINRA Report |
| Elizabeth Michelle Walker-Sadler | 4773120 | 2 | 12/11/2008 | Customer Dispute | Denied | $35,185.20 | $0.00 | See FINRA Report |
| Corey Jeff Raths | 4096666 | 1 | 10/07/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Neil Clark Freeman | 1283664 | 5 | 05/27/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |