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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Scott Nelson-Archer | 2586538 | 1 | 07/01/2013 | Customer Dispute | Award / Judgment | $800,000.00 | $17,486.00 | See FINRA Report |
| Nicholas David McCleary | 6055201 | 1 | 03/05/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Donald Robert Lyons | 1763823 | 1 | 12/05/2012 | Customer Dispute | Settled | $19,861.00 | $0.00 | See FINRA Report |
| Darcy Rae Yocum | 4223696 | 1 | 10/02/2012 | Customer Dispute | Settled | $55,000.00 | $0.00 | See FINRA Report |
| George Carathimas | 2650207 | 2 | 06/05/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Robert Feldman | 2139396 | 1 | 03/21/2012 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Neil Clark Freeman | 1283664 | 5 | 12/27/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradley Jay Frane | 1983385 | 1 | 11/29/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tallie O'Vivian Young | 2817233 | 2 | 07/27/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Steven Paul Tunink | 1518960 | 1 | 07/01/2011 | Customer Dispute | Denied | $66,500.00 | $0.00 | See FINRA Report |