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 |
|---|---|---|---|---|---|---|---|---|
| James Michael Peters | 3069791 | 1 | 08/10/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Daniel Adcock | 7414419 | 1 | 07/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Caroline Copeland Dorris | 6113391 | 1 | 05/19/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rachael Lynn Spoon | 6482906 | 1 | 04/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Marie Atkinson | 5010568 | 1 | 04/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Anthony Brewer | 4214479 | 1 | 02/06/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Myra Elizabeth Howard | 5901856 | 1 | 12/20/2014 | Financial | Pending | $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 |
| Justin Buck | 7701592 | 1 | 11/21/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael Tatro | 5277282 | 3 | 11/20/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |