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 |
|---|---|---|---|---|---|---|---|---|
| Steven Bruce Heinz | 1227117 | 4 | 08/08/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Clayton Andrew Cohn | 5813589 | 4 | 08/06/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Thad Ted M Zale | 1226580 | 5 | 07/12/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| James Fillmore Crawford | 1327638 | 5 | 07/08/2013 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Neal Miller Woodard | 5461015 | 4 | 07/08/2013 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Charles Wayne Adams | 1364440 | 3 | 07/01/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Richard Rohrwasser | 1131231 | 3 | 06/24/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| James Alexander Shepherd | 1626966 | 4 | 06/17/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Leslie James Jacobs | 1687729 | 1 | 06/11/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Darren Morrow | 1708880 | 3 | 05/30/2013 | Civil | Final | $0.00 | $0.00 | See FINRA Report |