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 |
|---|---|---|---|---|---|---|---|---|
| Michael Howard Rosenmayer | 2352488 | 23 | 01/29/2000 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Susan Marie Reck | 372177 | 2 | 01/28/2000 | Customer Dispute | Closed-No Action | $13,788.00 | $0.00 | See FINRA Report |
| Harold Duane Pope | 1051135 | 2 | 01/28/2000 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Harold Duane Pope | 1051135 | 2 | 01/28/2000 | Customer Dispute | Closed-No Action | $18,420.00 | $0.00 | See FINRA Report |
| Mark John Gathagan | 1365709 | 6 | 01/28/2000 | Customer Dispute | Closed-No Action | $38,000.00 | $0.00 | See FINRA Report |
| Emilio Roberto Harris | 1734459 | 2 | 01/26/2000 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Craig Bonds | 1867556 | 5 | 01/26/2000 | Customer Dispute | Closed-No Action | $7,802.66 | $0.00 | See FINRA Report |
| Eileen Dianne Laughton | 1029094 | 3 | 01/25/2000 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| George Ralph Smith | 2250801 | 2 | 01/24/2000 | Customer Dispute | Closed-No Action | $39,606.80 | $0.00 | See FINRA Report |
| Erik Morgan Helmstetter | 3173525 | 2 | 01/24/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |