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 |
|---|---|---|---|---|---|---|---|---|
| Harvey William Dash | 1339522 | 4 | 09/22/2016 | Customer Dispute | Denied | $8,400.00 | $0.00 | See FINRA Report |
| Leslie Marie West | 4714416 | 2 | 01/15/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daryl Lawrence Gilliam | 2967350 | 1 | 04/12/2011 | Customer Dispute | Denied | $42,000.00 | $0.00 | See FINRA Report |
| Joel Edward Griffin | 4089078 | 2 | 02/08/2011 | Customer Dispute | Denied | $20,957.50 | $0.00 | See FINRA Report |
| Joel Edward Griffin | 4089078 | 2 | 02/24/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| George Edward Ottoson | 2902084 | 1 | 02/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Amin Brent Antoine | 3151158 | 3 | 01/23/2009 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Stephanie Ann South | 4687458 | 1 | 01/19/2009 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Wilfredo Mendez Morales | 3105243 | 3 | 10/27/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Harvey William Dash | 1339522 | 4 | 09/30/2008 | Customer Dispute | Denied | $11,940.00 | $0.00 | See FINRA Report |