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 |
|---|---|---|---|---|---|---|---|---|
| Tobin Carl Hoffmann | 1705687 | 2 | 02/22/2016 | Customer Dispute | Denied | $37,077.10 | $0.00 | See FINRA Report |
| Michael Wayne Arthurs | 4558449 | 2 | 02/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Harry Albers | 2325 | 12 | 01/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Harry Albers | 2325 | 12 | 01/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Harry Albers | 2325 | 12 | 10/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Harry Albers | 2325 | 12 | 09/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Anderson Bowman | 4871073 | 3 | 09/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chad David Moseley | 4480167 | 1 | 08/13/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Paul Ward | 2948162 | 4 | 08/13/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marcus James Wernke | 6431882 | 1 | 05/20/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |