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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| David Sobel | 1086103 | 1 | 12/07/2000 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| 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 |
| Thomas Joseph Berthel | 823289 | 3 | 09/30/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |