Our Staff has compiled our research into a database of FINRA Broker Disclosures for Securities Management & Research, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Clifton Paul Higgs | 5492596 | 1 | 05/13/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Preston Kennedy | 2359314 | 1 | 03/22/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Derek Ralph Banks | 4182681 | 6 | 03/30/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Derek Ralph Banks | 4182681 | 6 | 07/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Anthony Gutierrez | 2140175 | 1 | 03/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Derek Ralph Banks | 4182681 | 6 | 01/19/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Wayne Weiss | 4115541 | 5 | 11/08/2016 | Customer Dispute | Award / Judgment | $18,543.00 | $11,043.00 | See FINRA Report |
| Derek Ralph Banks | 4182681 | 6 | 12/30/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derek Ralph Banks | 4182681 | 6 | 11/06/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Douglas Thomas | 2737704 | 1 | 09/02/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |