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 |
|---|---|---|---|---|---|---|---|---|
| Gary Elroy Barth | 2466996 | 5 | 02/08/2024 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Gregory Wadsworth Edwards | 1610724 | 1 | 05/08/2023 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jason Paul Ward | 2948162 | 4 | 08/30/2021 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| David Eric Small | 2004483 | 1 | 05/10/2018 | Customer Dispute | Denied | $28,393.50 | $0.00 | See FINRA Report |
| Daniel Joseph Scholz | 1266467 | 1 | 05/10/2018 | Customer Dispute | Denied | $23,086.30 | $0.00 | See FINRA Report |
| Ivar Norman Jones | 2729076 | 2 | 10/04/2016 | Customer Dispute | Denied | $58,938.40 | $0.00 | See FINRA Report |
| Tobin Carl Hoffmann | 1705687 | 2 | 02/22/2016 | Customer Dispute | Denied | $37,077.10 | $0.00 | See FINRA Report |
| John Albert Guntkowski | 4679214 | 2 | 02/13/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Wayne Arthurs | 4558449 | 2 | 11/03/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kim Gerald Allen | 1660033 | 3 | 08/11/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |