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 |
|---|---|---|---|---|---|---|---|---|
| Mark Clarence Carlson | 1024633 | 9 | 10/09/1985 | Customer Dispute | Settled | $46,000.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Daft | 830201 | 6 | 10/08/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Allan Sanford Gordon | 225635 | 4 | 10/07/1985 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Allan Sanford Gordon | 225635 | 4 | 10/07/1985 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| William Davis Chapin | 44641 | 2 | 10/05/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marci Lee Smith | 861077 | 5 | 10/05/1985 | Customer Dispute | Award / Judgment | $0.00 | $11,165.50 | See FINRA Report |
| Thomas W Alison | 3005 | 35 | 10/04/1985 | Customer Dispute | Settled | $123,387.00 | $0.00 | See FINRA Report |
| Marc Christopher Tesio | 1240543 | 8 | 10/03/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Louis Fritz | 2252999 | 5 | 10/02/1985 | Customer Dispute | Award / Judgment | $0.00 | $17,233.30 | See FINRA Report |
| Bruce Adam | 889 | 3 | 10/01/1985 | Customer Dispute | Award / Judgment | $500,000.00 | $282,977.00 | See FINRA Report |