Our Staff has compiled our research into a database of FINRA Broker Disclosures for Stephens. 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 |
|---|---|---|---|---|---|---|---|---|
| Ken Hall Barnett | 1140778 | 5 | 09/18/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ken Hall Barnett | 1140778 | 5 | 06/04/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Edward Paul Frost | 2457164 | 1 | 05/10/2007 | Customer Dispute | Denied | $1,400,000.00 | $0.00 | See FINRA Report |
| Clarence Foster Pollock | 1075273 | 1 | 01/13/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Spencer Whitman | 2149715 | 1 | 03/21/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kyle William Jenner | 1441817 | 5 | 03/25/2005 | Customer Dispute | Settled | $276,699.00 | $0.00 | See FINRA Report |
| William Byron James | 1249254 | 1 | 01/26/2004 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Jonny David Waddle | 1753257 | 1 | 11/14/2003 | Customer Dispute | Denied | $9,726.00 | $0.00 | See FINRA Report |
| Kimby Hobbs O'Briant | 2696073 | 2 | 06/13/2003 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Brandi M Patrick | 2891078 | 1 | 05/14/2003 | Customer Dispute | Denied | $25,809.00 | $0.00 | See FINRA Report |