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 |
|---|---|---|---|---|---|---|---|---|
| James Michael Doolan | 1305892 | 3 | 09/11/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Kana Teruya | 2670917 | 3 | 09/07/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Warren Todd Chambers | 5234398 | 2 | 09/05/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| John Edward Tencza | 2191249 | 2 | 09/05/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Roy MacGregor | 2048323 | 6 | 08/17/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Henry Davis | 1184183 | 4 | 08/16/2007 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Adam Michael Alves | 2276605 | 2 | 08/06/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Frohna | 2545291 | 3 | 08/01/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Darrel Thomas Uselton | 2051430 | 4 | 07/09/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Allen Hanson | 1909594 | 2 | 05/30/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |