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 |
|---|---|---|---|---|---|---|---|---|
| Alfred V Pope Jr | 365711 | 8 | 12/04/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Thatcher Creber | 56859 | 1 | 12/04/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Vladimir Fikhman | 2315449 | 3 | 12/03/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Helmuth Endres | 1565192 | 2 | 12/03/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Simon Binghui Mo | 2292637 | 1 | 12/02/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steve James Markey | 2591317 | 1 | 12/02/1997 | Customer Dispute | Closed-No Action | $5,381.56 | $0.00 | See FINRA Report |
| Michael Bruce Bagley | 1644740 | 2 | 12/01/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Elvie Thompson | 1628781 | 1 | 12/01/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Monroe Henry Firestone | 208199 | 2 | 11/28/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Desiree A Reil | 2151106 | 1 | 11/25/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |