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 |
|---|---|---|---|---|---|---|---|---|
| William Eric Kern | 5000630 | 1 | 06/09/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Dusty Lynn Treat | 4979610 | 2 | 06/05/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Amy Lynn Wakem | 4725625 | 1 | 11/08/2016 | Customer Dispute | Closed-No Action | $12,631.80 | $0.00 | See FINRA Report |
| Christine Kettlewell Cline | 2067951 | 1 | 10/10/2016 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Harvey William Dash | 1339522 | 4 | 09/22/2016 | Customer Dispute | Denied | $8,400.00 | $0.00 | See FINRA Report |
| Michael Patrick Halpin | 2417766 | 1 | 03/01/2016 | Customer Dispute | Closed-No Action | $65,000.00 | $0.00 | See FINRA Report |
| Nicole Elizabeth Whitcomb | 2872792 | 1 | 09/09/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Capets | 3047354 | 1 | 12/10/2014 | Customer Dispute | Closed-No Action | $5,001.00 | $0.00 | See FINRA Report |
| Joshua Adam Harris | 6075400 | 1 | 04/14/2014 | Customer Dispute | Settled | $6,625.90 | $0.00 | See FINRA Report |
| Leslie Marie West | 4714416 | 2 | 01/15/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |