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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Harry Albers | 2325 | 12 | 12/05/2014 | Financial | Final | $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 |
| Christine Noelle Johnston | 2930060 | 3 | 09/15/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christine Noelle Johnston | 2930060 | 3 | 09/09/2014 | Judgment / Lien | $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 |
| Michael James Booth | 5320849 | 1 | 08/08/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Anthony Joseph Pettola | 1188615 | 1 | 07/30/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ricky Wayne Small | 1453704 | 1 | 04/28/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Leonid Palanov | 1132920 | 1 | 04/01/2014 | Customer Dispute | Closed-No Action | $7,200.00 | $0.00 | See FINRA Report |
| Jason Paul Ward | 2948162 | 4 | 09/03/2013 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |