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 |
|---|---|---|---|---|---|---|---|---|
| Danny Scott Hood | 3236852 | 5 | 07/31/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Harold James Swart | 2912854 | 4 | 07/27/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Garry Nelson Savage | 1195330 | 9 | 06/02/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Garry Nelson Savage | 2338013 | 6 | 06/02/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Dusty Lynn Treat | 4979610 | 2 | 05/22/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Avi Solomon Chiat | 3260141 | 5 | 05/22/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| John Frank Denes | 1831276 | 11 | 05/22/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Roger Main Ramsay | 854712 | 1 | 05/19/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Kee Chan | 2053603 | 3 | 05/15/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| William Raymond Schantz | 1641847 | 3 | 05/04/2017 | Civil | Final | $0.00 | $0.00 | See FINRA Report |