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 |
| Michael Eugene Goldston | 867394 | 4 | 05/06/2002 | Customer Dispute | Settled | $280,685.00 | $0.00 | See FINRA Report |
| Jack Clark Herndon | 1286530 | 11 | 12/03/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Jenkins Parker | 356789 | 11 | 12/03/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jack Clark Herndon | 1286530 | 11 | 11/06/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jack Clark Herndon | 1286530 | 11 | 11/06/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Jenkins Parker | 356789 | 11 | 11/06/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jack Clark Herndon | 1286530 | 11 | 11/04/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jack Clark Herndon | 1286530 | 11 | 11/04/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Jenkins Parker | 356789 | 11 | 11/04/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |