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 |
|---|---|---|---|---|---|---|---|---|
| Roy David Gutierrez | 1007996 | 3 | 03/31/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Leighann Kirtley Arthur | 2472805 | 1 | 03/07/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Roy David Gutierrez | 1007996 | 3 | 03/27/2003 | Customer Dispute | Denied | $750,000.00 | $0.00 | See FINRA Report |
| Roy David Gutierrez | 1007996 | 3 | 08/27/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |