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 |
|---|---|---|---|---|---|---|---|---|
| Derek Ralph Banks | 4182681 | 6 | 07/31/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Wayne Weiss | 4115541 | 5 | 11/08/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Louis Patrick Danna | 1209052 | 1 | 04/05/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Brian Davenport | 1355871 | 2 | 01/27/2012 | Regulatory | Final | $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 |
| Robert Wayne Weiss | 4115541 | 5 | 09/28/2009 | Judgment / Lien | $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 |