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 |
|---|---|---|---|---|---|---|---|---|
| Lee Edward Keeler | 1215299 | 1 | 03/20/1998 | Customer Dispute | Closed-No Action | $66,000.00 | $0.00 | See FINRA Report |
| J Steven Ehlers | 1243807 | 2 | 03/20/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas J McIntyre | 328488 | 11 | 03/19/1998 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Alex Damgaard Andreasen | 5754 | 5 | 03/19/1998 | Customer Dispute | Closed-No Action | $48,000.00 | $0.00 | See FINRA Report |
| Arnold Harry Rozany | 403183 | 2 | 03/19/1998 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Allen Dale Cannon | 1037333 | 3 | 03/19/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Francis Friel | 1371900 | 2 | 03/18/1998 | Customer Dispute | Closed-No Action | $1,100,000.00 | $0.00 | See FINRA Report |
| George Raymond Goodroe | 2652980 | 1 | 03/16/1998 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Bennett Scott Broad | 702460 | 41 | 03/12/1998 | Customer Dispute | Closed-No Action | $21,500.00 | $0.00 | See FINRA Report |
| Dean Winfred Thurman | 2042267 | 1 | 03/12/1998 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |