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 David Hill | 1056054 | 7 | 07/11/1985 | Customer Dispute | Award / Judgment | $34,000.00 | $25,000.00 | See FINRA Report |
| Neil Hattem | 862803 | 3 | 07/05/1985 | Customer Dispute | Award / Judgment | $100,000.00 | $72,800.00 | See FINRA Report |
| Thomas Francis Duffy | 72810 | 5 | 07/03/1985 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Robert Alexander Anderson | 5471 | 2 | 07/02/1985 | Customer Dispute | Settled | $40,168.70 | $0.00 | See FINRA Report |
| Robert Thomas Allis | 3679 | 1 | 07/01/1985 | Customer Dispute | Award / Judgment | $218,217.00 | $0.00 | See FINRA Report |
| Robert Eugene Durham | 710763 | 1 | 07/01/1985 | Customer Dispute | Settled | $46,000.00 | $0.00 | See FINRA Report |
| Randy Rene Knopp | 857302 | 1 | 07/01/1985 | Customer Dispute | Settled | $660,000.00 | $0.00 | See FINRA Report |
| Douglas Charles Gast | 218603 | 2 | 07/01/1985 | Customer Dispute | Award / Judgment | $195,000.00 | $79,000.00 | See FINRA Report |
| Douglas Charles Gast | 218603 | 2 | 07/01/1985 | Customer Dispute | Settled | $195,000.00 | $0.00 | See FINRA Report |
| John Michael Legg | 712395 | 1 | 06/26/1985 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |