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 |
|---|---|---|---|---|---|---|---|---|
| John Alan Pelham | 1252189 | 1 | 01/09/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Paul Ward | 2948162 | 4 | 12/21/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Claude Orcutt | 1837854 | 1 | 01/08/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Martin Cannon | 3122979 | 4 | 01/07/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Lavern Swires | 4610740 | 3 | 01/31/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Lavern Swires | 4610740 | 3 | 01/31/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Howard Dennis | 1085381 | 2 | 01/14/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Howard Dennis | 1085381 | 2 | 11/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Justin David Ellenbecker | 6718219 | 1 | 05/31/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Lavern Swires | 4610740 | 3 | 10/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |