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 |
|---|---|---|---|---|---|---|---|---|
| James Keith Evans | 835311 | 1 | 01/01/1986 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Robert Stratton | 438097 | 1 | 01/01/1986 | Customer Dispute | Award / Judgment | $1,400.00 | $8,768.61 | See FINRA Report |
| James Justo Yglesias | 821417 | 1 | 01/01/1986 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Robert Glenn Caro | 1093412 | 2 | 01/01/1986 | Customer Dispute | Settled | $22,600.00 | $0.00 | See FINRA Report |
| Marshall Griffin Rowe | 1026427 | 1 | 01/01/1986 | Customer Dispute | Settled | $20,067.00 | $0.00 | See FINRA Report |
| Ephraim Ulmer | 822497 | 1 | 01/01/1986 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wallace Franklin Cox | 1209384 | 2 | 01/01/1986 | Customer Dispute | Settled | $28,000.00 | $0.00 | See FINRA Report |
| Randall Jay Katzenstein | 1209829 | 2 | 01/01/1986 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Veronica Ann Kenney | 1219909 | 1 | 01/01/1986 | Customer Dispute | Award / Judgment | $780.14 | $225.00 | See FINRA Report |
| Zenas Norman Gurley | 232175 | 2 | 12/31/1985 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |