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 Wuest | 7488573 | 1 | 01/30/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erynn Kathleen Nelson | 7641637 | 1 | 01/08/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gwyndena Williams Petrick | 3031079 | 2 | 12/07/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Fernando Martinez | 7854629 | 1 | 11/24/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wayne Ronald Shoemaker | 2914714 | 1 | 11/01/2010 | Customer Dispute | Settled | $282,000.00 | $0.00 | See FINRA Report |
| Mary Katherine Carl | 7676594 | 2 | 09/19/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Montyne King Clay | 4044716 | 1 | 08/20/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael John Devine | 5418408 | 1 | 08/04/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bethany Bell | 7700161 | 1 | 08/02/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Walter Woelfle | 4881222 | 1 | 07/01/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |