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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Gage Haines | 2640798 | 2 | 08/01/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Duncan Aikins | 5602971 | 1 | 07/20/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeanann M Kramer | 4897459 | 1 | 03/18/2020 | Customer Dispute | Settled | $11,475.00 | $0.00 | See FINRA Report |
| Katherine Kimball Dyer | 6445880 | 3 | 08/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Katherine Kimball Dyer | 6445880 | 3 | 08/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Katherine Kimball Dyer | 6445880 | 3 | 08/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Justin Scott Dumke | 4006005 | 1 | 02/21/2014 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Edward Pentek | 4046368 | 2 | 07/12/2012 | Customer Dispute | Denied | $185,000.00 | $0.00 | See FINRA Report |
| Mark William Goldberg | 223978 | 3 | 02/23/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Howard Robert Pinson | 2005771 | 2 | 09/20/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |