Our Staff has compiled our research into a database of FINRA Broker Disclosures for Thoroughbred Financial Services, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Carl Vernon Lee | 709707 | 1 | 08/23/2021 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Jenkins Parker | 356789 | 11 | 12/21/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lawrence Randall Hartley | 1235172 | 1 | 12/21/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Eugene Goldston | 867394 | 4 | 05/06/2002 | Customer Dispute | Settled | $280,685.00 | $0.00 | See FINRA Report |
| Michael Eugene Goldston | 867394 | 4 | 12/12/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Owen Parker | 4740451 | 1 | 01/19/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jack Clark Herndon | 1286530 | 11 | 02/02/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Jenkins Parker | 356789 | 11 | 02/02/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Eugene Goldston | 867394 | 4 | 12/24/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jack Clark Herndon | 1286530 | 11 | 12/03/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |