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 | 10/05/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark William Goldberg | 223978 | 3 | 09/09/2009 | Customer Dispute | Withdrawn | $46,000.00 | $0.00 | See FINRA Report |
| Troy Charles Jordan | 819125 | 1 | 03/19/2009 | Customer Dispute | Withdrawn | $90,000.00 | $0.00 | See FINRA Report |
| Howard Robert Pinson | 2005771 | 2 | 08/05/2008 | Customer Dispute | Award / Judgment | $250,000.00 | $190,000.00 | See FINRA Report |
| David Edward Pentek | 4046368 | 2 | 06/09/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Marion Fetters | 2614186 | 1 | 03/11/2004 | Customer Dispute | Denied | $37,600.00 | $0.00 | See FINRA Report |
| Jean-Paul Anthony Aime | 4661784 | 1 | 06/05/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Andrew McCaman | 1619888 | 1 | 05/02/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| McFaddin Moise | 1086873 | 1 | 04/16/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy John Bober | 1992277 | 1 | 12/11/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |