Our Staff has compiled our research into a database of FINRA Broker Disclosures. 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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Thomas Whalen | 821779 | 2 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $25,000.00 | See FINRA Report |
| Warren Kirk Hayes | 240599 | 4 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $103,796.00 | See FINRA Report |