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 |
|---|---|---|---|---|---|---|---|---|
| Mark Lloyd Higginbotham | 1524917 | 3 | 06/20/2000 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Thomas McAuley | 2256232 | 1 | 06/20/2000 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| Patrick Reid Murray | 2007449 | 6 | 06/14/2000 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| David Alan Gotz | 1052137 | 1 | 06/14/2000 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Edward Y Tom | 1655996 | 5 | 06/14/2000 | Customer Dispute | Closed-No Action | $8,054.00 | $0.00 | See FINRA Report |
| William Marcelin Scaife | 2041706 | 1 | 06/12/2000 | Customer Dispute | Closed-No Action | $9,000.00 | $0.00 | See FINRA Report |
| David Matthew Girio | 2788173 | 6 | 06/12/2000 | Customer Dispute | Closed-No Action | $12,914.50 | $0.00 | See FINRA Report |
| Keith David Pagan | 3111825 | 5 | 06/09/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Darren Otto Layne | 2524248 | 1 | 06/08/2000 | Customer Dispute | Closed-No Action | $26,100.00 | $0.00 | See FINRA Report |
| Shelley Treadway Waters | 1309569 | 1 | 06/08/2000 | Customer Dispute | Closed-No Action | $8,700.00 | $0.00 | See FINRA Report |