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 |
|---|---|---|---|---|---|---|---|---|
| Jack Robert Thacker | 2754773 | 19 | 03/25/2024 | Customer Dispute | Pending | $221,904.00 | $0.00 | See FINRA Report |
| Patrick Dean Louise | 5810428 | 1 | 03/25/2024 | Customer Dispute | Pending | $2,000,000.00 | $0.00 | See FINRA Report |
| Michael Nichols | 4699651 | 1 | 03/24/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward H Prince | 4647442 | 2 | 03/22/2024 | Customer Dispute | Pending | $140,000.00 | $0.00 | See FINRA Report |
| Robert Joseph Earls | 1369915 | 8 | 03/22/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Wesley Johnson | 4545355 | 1 | 03/22/2024 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| William Bruce Body | 1547342 | 5 | 03/22/2024 | Customer Dispute | Denied | $64,150.40 | $0.00 | See FINRA Report |
| Douglas Scott Ponczek | 5843395 | 1 | 03/22/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Shawn Edward Good | 2022168 | 8 | 03/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Arthur Allen | 2287824 | 4 | 03/22/2024 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |