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 |
|---|---|---|---|---|---|---|---|---|
| Alan Timothy Rodriguez | 1592580 | 15 | 05/19/2000 | Customer Dispute | Closed-No Action | $33,156.90 | $0.00 | See FINRA Report |
| Mark Steven Holt | 1453426 | 1 | 05/18/2000 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Philip Hugo Fessler | 2305500 | 1 | 05/17/2000 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| Samuel Rex Ayers | 2314560 | 1 | 05/16/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Guy James Abbanat | 1235698 | 3 | 05/15/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James R Mounier | 1666665 | 2 | 05/15/2000 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Kathleen R Hayes | 724109 | 1 | 05/12/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Kistler Jones | 2459593 | 1 | 05/12/2000 | Customer Dispute | Closed-No Action | $9,373.00 | $0.00 | See FINRA Report |
| William Harold Niemuth | 735532 | 1 | 05/11/2000 | Customer Dispute | Closed-No Action | $74,293.00 | $0.00 | See FINRA Report |
| Matthew David Creme | 2626004 | 1 | 05/11/2000 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |