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 |
|---|---|---|---|---|---|---|---|---|
| Scott Vernon Payden | 1314093 | 3 | 11/20/2003 | Customer Dispute | Award / Judgment | $150,000.00 | $11,000.00 | See FINRA Report |
| Keith Michael Gillies | 1250689 | 1 | 10/30/2003 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Green | 3026007 | 1 | 06/23/2003 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Gary Elroy Barth | 2466996 | 5 | 06/16/2003 | Customer Dispute | Denied | $12,500.00 | $0.00 | See FINRA Report |
| Margaret Mary Dipaolo | 2843962 | 1 | 06/12/2003 | Customer Dispute | Denied | $156,399.00 | $0.00 | See FINRA Report |
| Joseph Henry Gonzalez | 1836525 | 2 | 05/23/2003 | Customer Dispute | Denied | $21,376.50 | $0.00 | See FINRA Report |
| Michael Alan Mumau | 1288895 | 3 | 03/17/2003 | Customer Dispute | Settled | $6,901.70 | $0.00 | See FINRA Report |
| Wayne David Schmidt | 1313631 | 1 | 02/20/2003 | Customer Dispute | Denied | $187,000.00 | $0.00 | See FINRA Report |
| David John Laplante | 2187509 | 1 | 09/23/2002 | Customer Dispute | Denied | $44,011.00 | $0.00 | See FINRA Report |
| Kim Gerald Allen | 1660033 | 3 | 08/26/2002 | Customer Dispute | Settled | $5,334.33 | $0.00 | See FINRA Report |