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 | 06/16/1998 | Customer Dispute | Settled | $86,000.00 | $0.00 | See FINRA Report |
| Arthur Buring | 1198287 | 2 | 03/05/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Foster Phelps | 1035598 | 1 | 01/17/1996 | Customer Dispute | Settled | $270,000.00 | $0.00 | See FINRA Report |
| Donald Martin Levy | 1228353 | 1 | 02/25/1993 | Customer Dispute | Award / Judgment | $10,066.50 | $4,261.00 | See FINRA Report |
| Michael Ray Hardison | 803888 | 1 | 04/28/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig Neyland Lang | 301830 | 1 | 10/15/1990 | Customer Dispute | Award / Judgment | $1,000,000.00 | $9,662.00 | See FINRA Report |
| Robert William Raney | 370850 | 2 | 12/28/1989 | Customer Dispute | Award / Judgment | $26,830.00 | $10,000.00 | See FINRA Report |
| Robert William Raney | 370850 | 2 | 04/28/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Williams Tucker | 450164 | 1 | 04/26/1989 | Customer Dispute | Settled | $400,375.00 | $0.00 | See FINRA Report |
| Henry Kenneth Bennett | 501092 | 1 | 12/26/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |