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 |
|---|---|---|---|---|---|---|---|---|
| Peter Fulton Havenstein | 823704 | 2 | 12/18/1985 | Customer Dispute | Settled | $63,693.00 | $0.00 | See FINRA Report |
| Trevor David Reese | 852550 | 1 | 12/18/1985 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 12/18/1985 | Customer Dispute | Settled | $36,400.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 12/17/1985 | Customer Dispute | Settled | $59,500.00 | $0.00 | See FINRA Report |
| Thomas Joseph Dwyer | 1121488 | 1 | 12/15/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradley Roger Kastan | 1030565 | 4 | 12/15/1985 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Daniel Ephraim Munter | 1077857 | 3 | 12/13/1985 | Customer Dispute | Award / Judgment | $5,000.00 | $17,500.00 | See FINRA Report |
| Gary Phillip Jackson | 1311649 | 6 | 12/13/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary Phillip Jackson | 1311649 | 6 | 12/13/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary Phillip Jackson | 1311649 | 6 | 12/13/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |