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 |
|---|---|---|---|---|---|---|---|---|
| Jose Luis Cerda | 4363996 | 1 | 07/18/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Melba Moran Ballard | 3016627 | 1 | 07/05/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jabin Wade Niles | 4923805 | 1 | 06/14/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sandra Michell Githens | 5304393 | 1 | 06/07/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel P Cavin | 4254082 | 2 | 05/20/2011 | Regulatory | Final | $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 |
| Scott Davis Johnson | 4772003 | 3 | 04/04/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Smith | 3110556 | 1 | 03/03/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edwin Campbell Anderson | 3027169 | 1 | 02/23/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Edward Griffin | 4089078 | 2 | 02/08/2011 | Customer Dispute | Denied | $20,957.50 | $0.00 | See FINRA Report |