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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Joseph Gawron | 6387800 | 1 | 07/23/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles David Pelt | 5750940 | 1 | 06/25/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Howell Phillip Bell | 2976158 | 1 | 05/31/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Anderson Grant | 6292467 | 1 | 05/30/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Chris Michael Bliemeister | 4540556 | 1 | 04/20/2018 | Customer Dispute | Closed-No Action | $8,377.07 | $0.00 | See FINRA Report |
| John Robert McAulay | 2698671 | 2 | 02/20/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kelly Jay Burns | 3242984 | 2 | 02/14/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Peter Schmick | 3128394 | 1 | 02/06/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas John Tagler | 3008881 | 1 | 02/05/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sara Elizabeth Schultze | 5877400 | 1 | 01/15/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |