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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Roy Reno | 846791 | 2 | 10/24/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Grant Olson | 2811334 | 1 | 10/24/1997 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Thomas Wilbur Hauser | 239959 | 2 | 10/23/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jerry Lucas Kaplan | 1233182 | 3 | 10/22/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Linda Helaine Dambrosio | 1379236 | 1 | 10/22/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Curtis Ray Bowersox | 1271106 | 6 | 10/21/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Alan Snodgrass | 429651 | 1 | 10/21/1997 | Customer Dispute | Closed-No Action | $210,000.00 | $0.00 | See FINRA Report |
| Craig Arnold Sorenson | 1132166 | 5 | 10/20/1997 | Customer Dispute | Closed-No Action | $950.00 | $0.00 | See FINRA Report |
| Rockwell Stuart Pearson | 1956885 | 1 | 10/17/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark Gregory Rumpza | 1908003 | 4 | 10/16/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |