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 Wayne Weiss | 4115541 | 5 | 11/08/2016 | Customer Dispute | Award / Judgment | $18,543.00 | $11,043.00 | See FINRA Report |
| Robert Wayne Weiss | 4115541 | 5 | 11/08/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Wayne Weiss | 4115541 | 5 | 08/05/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregg Teak Georgantas | 1620707 | 1 | 12/20/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Joseph Berthel | 823289 | 3 | 11/17/2004 | Customer Dispute | Settled | $365,109.00 | $0.00 | See FINRA Report |
| William Brian Davenport | 1355871 | 2 | 10/13/2004 | Customer Dispute | Closed-No Action | $7,500.00 | $0.00 | See FINRA Report |
| Robert Wayne Weiss | 4115541 | 5 | 05/04/2004 | Customer Dispute | Denied | $5,100.00 | $0.00 | See FINRA Report |
| Christopher Scott Williams | 1254361 | 2 | 05/22/2003 | Customer Dispute | Denied | $170,000.00 | $0.00 | See FINRA Report |
| Terri Kay Hobbs | 2601030 | 1 | 05/02/2003 | Customer Dispute | Closed-No Action | $8,494.37 | $0.00 | See FINRA Report |