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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Lee Johnson | 259264 | 1 | 11/13/1985 | Customer Dispute | Award / Judgment | $36,000.00 | $19,618.60 | See FINRA Report |
| Thomas Fredericks Bergin | 19252 | 1 | 11/12/1985 | Customer Dispute | Award / Judgment | $75,000.00 | $24,283.50 | See FINRA Report |
| Sandra Lee White | 805113 | 3 | 11/08/1985 | Customer Dispute | Settled | $465,970.00 | $0.00 | See FINRA Report |
| Alan Ken Flake | 209342 | 6 | 11/08/1985 | Customer Dispute | Settled | $465,970.00 | $0.00 | See FINRA Report |
| Garth Kevin Flint | 210005 | 1 | 11/08/1985 | Customer Dispute | Award / Judgment | $5,341.00 | $5,376.59 | See FINRA Report |
| Michael Forman Sheets | 734238 | 3 | 11/08/1985 | Customer Dispute | Settled | $275,838.00 | $0.00 | See FINRA Report |
| Barry Williamson Spencer | 719954 | 2 | 11/05/1985 | Customer Dispute | Settled | $200,446.00 | $0.00 | See FINRA Report |
| Dennis Allen Hohn | 809807 | 4 | 11/02/1985 | Customer Dispute | Award / Judgment | $20,000.00 | $21,767.00 | See FINRA Report |
| George V Benigno | 18056 | 3 | 11/01/1985 | Customer Dispute | Award / Judgment | $50,000.00 | $5,789.00 | See FINRA Report |
| Steven Forrest Litchfield | 836413 | 2 | 11/01/1985 | Customer Dispute | Award / Judgment | $11,000.00 | $9,296.00 | See FINRA Report |