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 |
|---|---|---|---|---|---|---|---|---|
| Christopher John Burke | 1149870 | 1 | 04/11/2022 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Michael David Wik | 1859149 | 1 | 04/11/2022 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Erik M Russell | 7283019 | 1 | 09/20/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Spottswood Tardy | 2530322 | 1 | 07/06/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Edward Thoele | 1305006 | 3 | 07/06/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Mark McClanahan | 1349995 | 1 | 07/06/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Charles Griege | 1552428 | 2 | 07/06/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy Michael Weber | 1647478 | 2 | 07/06/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael James Shockley | 1932325 | 1 | 07/06/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Thomas Bone | 2852444 | 1 | 07/06/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |