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 |
|---|---|---|---|---|---|---|---|---|
| Ariel E Garza | 5166241 | 1 | 05/04/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lisa Marie Cano | 6071567 | 1 | 04/29/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carl Dinh Nguyen | 4377760 | 1 | 04/24/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joshua Ryan Post | 4044112 | 2 | 04/15/2003 | Customer Dispute | Award / Judgment | $9,000.00 | $2,500.00 | See FINRA Report |
| Trevor James Butcher | 5522155 | 1 | 04/08/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Stephen Knox | 4169456 | 1 | 03/20/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carol Jan Alford | 2619104 | 1 | 03/19/2003 | Customer Dispute | Denied | $25,995.00 | $0.00 | See FINRA Report |
| Dustin Matthew Hill | 4186720 | 8 | 03/18/2003 | Customer Dispute | Settled | $31,075.00 | $0.00 | See FINRA Report |
| Harvey William Dash | 1339522 | 4 | 01/30/2003 | Customer Dispute | Denied | $15,116.40 | $0.00 | See FINRA Report |
| William Matthew Burris | 2008429 | 1 | 11/01/2002 | Customer Dispute | Settled | $13,825.90 | $0.00 | See FINRA Report |