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 Erwin Fuqua | 215885 | 5 | 09/01/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Suttle McGrath | 328007 | 1 | 09/01/1985 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Laszlo Batthyany Torzsok | 448352 | 1 | 08/26/1985 | Customer Dispute | Award / Judgment | $842,000.00 | $45,000.00 | See FINRA Report |
| Ronald Hisao Kikawa | 830227 | 5 | 08/22/1985 | Customer Dispute | Settled | $79,190.00 | $0.00 | See FINRA Report |
| James Anthony Dalton | 707241 | 1 | 08/22/1985 | Customer Dispute | Award / Judgment | $0.00 | $5,000.00 | See FINRA Report |
| Martin Allen Mersky | 332520 | 1 | 08/21/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Hershell Paige Scarborough | 840791 | 1 | 08/19/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fred Francis Liebau | 1049453 | 12 | 08/14/1985 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Arlon Ray Enmeier | 1000999 | 4 | 08/12/1985 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Craig William Hubler | 1194371 | 1 | 08/12/1985 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |