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 |
|---|---|---|---|---|---|---|---|---|
| Charles Andrew Brown | 32055 | 2 | 07/31/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Yoshiyuki Sakai | 409129 | 7 | 07/26/1985 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Joseph Jay Luksis | 1034084 | 3 | 07/25/1985 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jesse Lee Carroll | 41749 | 1 | 07/24/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Carl Schmid | 501783 | 1 | 07/23/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jack Erwin Fuqua | 215885 | 5 | 07/22/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jack Erwin Fuqua | 215885 | 5 | 07/22/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Nielson Phillips | 872937 | 3 | 07/19/1985 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Robert English Morrell | 858113 | 1 | 07/15/1985 | Customer Dispute | Award / Judgment | $11,941.20 | $6,000.00 | See FINRA Report |
| Edward C Smith | 868903 | 2 | 07/15/1985 | Customer Dispute | Award / Judgment | $25,000.00 | $12,500.00 | See FINRA Report |