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 Michael Roffman | 1673527 | 6 | 04/27/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Patrick Christopher Taylor | 2253175 | 4 | 04/22/1999 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Todd Arnold Havemeister | 1942953 | 12 | 04/22/1999 | Customer Dispute | Closed-No Action | $45,475.00 | $0.00 | See FINRA Report |
| Derrick Timothy Watts | 2479608 | 8 | 04/22/1999 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Dane Curtiss Urie | 1500806 | 2 | 04/22/1999 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Ronald Eiger | 1767584 | 5 | 04/22/1999 | Customer Dispute | Closed-No Action | $45,475.00 | $0.00 | See FINRA Report |
| James Anthony Parrish | 1421066 | 3 | 04/21/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Antony Reed Hallada | 2009640 | 1 | 04/20/1999 | Customer Dispute | Closed-No Action | $6,928.05 | $0.00 | See FINRA Report |
| Gary Charles Farmer | 1968975 | 7 | 04/16/1999 | Customer Dispute | Closed-No Action | $6,449.99 | $0.00 | See FINRA Report |
| Mark William McNew | 2138781 | 6 | 04/12/1999 | Customer Dispute | Closed-No Action | $5,643.33 | $0.00 | See FINRA Report |