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 |
|---|---|---|---|---|---|---|---|---|
| Joni Marie Hollowell | 4154583 | 3 | 05/12/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Allen Moll | 5985686 | 1 | 09/26/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Frederick Hemmer | 2091258 | 1 | 09/30/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Harrod Blank | 1195848 | 1 | 11/18/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Eugene Smith | 603844 | 4 | 03/24/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Eugene Smith | 603844 | 4 | 11/21/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Eugene Smith | 603844 | 4 | 10/10/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Allan Mattison Tucker | 501512 | 3 | 08/09/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Eugene Smith | 603844 | 4 | 02/27/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Zoe Ann Hines | 709945 | 1 | 08/19/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |