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 |
|---|---|---|---|---|---|---|---|---|
| Leah Anne Brooks | 5587158 | 1 | 09/11/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Roger Dale Gaddis | 1635364 | 2 | 08/27/2019 | Customer Dispute | Denied | $146,739.00 | $0.00 | See FINRA Report |
| Dave Allan Reed | 4897434 | 2 | 03/12/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dave Allan Reed | 4897434 | 2 | 02/01/2012 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Roger Dale Gaddis | 1635364 | 2 | 11/19/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |