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 |
|---|---|---|---|---|---|---|---|---|
| Erik Morgan Helmstetter | 3173525 | 2 | 01/24/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ronald Ray Vinsant | 1992190 | 2 | 01/24/2000 | Customer Dispute | Closed-No Action | $250,000.00 | $0.00 | See FINRA Report |
| John W Shamlian | 1031773 | 3 | 01/24/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Mullins | 1064703 | 2 | 01/21/2000 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John Henry Martin | 858528 | 3 | 01/21/2000 | Customer Dispute | Closed-No Action | $19,000.00 | $0.00 | See FINRA Report |
| Daniel William Saunders | 1518990 | 1 | 01/20/2000 | Customer Dispute | Closed-No Action | $520,000.00 | $0.00 | See FINRA Report |
| Harold Kent Engelman | 1336229 | 1 | 01/19/2000 | Customer Dispute | Closed-No Action | $358,167.00 | $0.00 | See FINRA Report |
| Ian Oliver Jobe | 2148815 | 3 | 01/19/2000 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Bruce Edward Orenstein | 732486 | 5 | 01/18/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James R Klosterman | 865318 | 4 | 01/17/2000 | Customer Dispute | Closed-No Action | $66,000.00 | $0.00 | See FINRA Report |