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 |
|---|---|---|---|---|---|---|---|---|
| Natasha Elizabeth Marlow | 2909224 | 1 | 07/22/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Frederick Hemmer | 2091258 | 1 | 09/30/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Brent Akers | 4133460 | 1 | 03/13/2013 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Hillman Zell Jones | 2740414 | 1 | 03/13/2013 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Paul Martin Moorman | 4443928 | 1 | 01/28/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dierk Lane Cockrell | 1583530 | 3 | 10/05/2012 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Arthur Buring | 1198287 | 2 | 01/24/2012 | Customer Dispute | Settled | $11,022.70 | $0.00 | See FINRA Report |
| Kimby Hobbs O'Briant | 2696073 | 2 | 10/15/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Steven Ransdell | 4451604 | 1 | 03/02/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul David Zuckerman | 1160549 | 2 | 01/20/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |