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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Joseph Berthel | 823289 | 3 | 07/08/2000 | Customer Dispute | Settled | $132,600.00 | $0.00 | See FINRA Report |
| Christopher Scott Williams | 1254361 | 2 | 02/14/2000 | Customer Dispute | Denied | $7,784.00 | $0.00 | See FINRA Report |