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 |
|---|---|---|---|---|---|---|---|---|
| Heriberto Bermea | 6120620 | 1 | 04/21/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roxanne May Haug | 5532672 | 1 | 04/13/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Stephen Reid | 6485291 | 1 | 03/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gerald Michael Garcia | 1783471 | 1 | 02/07/1999 | Customer Dispute | Closed-No Action | $17,000.00 | $0.00 | See FINRA Report |
| Richard Charles Mottern | 4723169 | 1 | 01/12/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Wayne Williams | 3012872 | 2 | 12/18/1998 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Robert Wayne Williams | 3012872 | 2 | 12/18/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Scott Marxer | 2816890 | 3 | 12/11/1998 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Philip Alan Sugg | 5102703 | 1 | 12/01/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Robert Becker | 4764262 | 1 | 10/13/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |