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 |
|---|---|---|---|---|---|---|---|---|
| Andrew William Miles | 5986774 | 18 | 04/04/2024 | Customer Dispute | Pending | $235,000.00 | $0.00 | See FINRA Report |
| Gregory Paul Suzio | 5309403 | 1 | 04/04/2024 | Customer Dispute | Pending | $499,000.00 | $0.00 | See FINRA Report |
| Brian C Kennedy | 2321416 | 9 | 04/04/2024 | Customer Dispute | Pending | $80,000.00 | $0.00 | See FINRA Report |
| Derek Robert Taylor | 5214675 | 2 | 04/04/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Philippus Theunis van Staden | 4489166 | 15 | 04/04/2024 | Customer Dispute | Pending | $235,000.00 | $0.00 | See FINRA Report |
| Mark Allen Carter | 6387371 | 2 | 04/04/2024 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Brad Whalen | 2582276 | 2 | 04/04/2024 | Customer Dispute | Pending | $235,000.00 | $0.00 | See FINRA Report |
| Rodger Anthony McAlister | 2676623 | 3 | 04/03/2024 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Christopher John Browning | 4786391 | 3 | 04/03/2024 | Customer Dispute | Pending | $230,000.00 | $0.00 | See FINRA Report |
| Ronald Luther Bucher | 1804910 | 14 | 04/03/2024 | Customer Dispute | Pending | $2,000,000.00 | $0.00 | See FINRA Report |