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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Ervin Ledford | 1078469 | 2 | 06/25/1985 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Stephen C Ibarguen | 1130652 | 3 | 06/24/1985 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Takashi Sugai | 439390 | 1 | 06/21/1985 | Customer Dispute | Settled | $76,394.40 | $0.00 | See FINRA Report |
| Dale Koblenzer | 835627 | 1 | 06/21/1985 | Customer Dispute | Settled | $441,046.00 | $0.00 | See FINRA Report |
| Joseph Jay Luksis | 1034084 | 3 | 06/12/1985 | Customer Dispute | Settled | $74,000.00 | $0.00 | See FINRA Report |
| Allan Sanford Gordon | 225635 | 4 | 06/07/1985 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert van Quathem | 812875 | 2 | 06/01/1985 | Customer Dispute | Award / Judgment | $155,420.00 | $66,607.00 | See FINRA Report |
| Robert van Quathem | 812875 | 2 | 06/01/1985 | Customer Dispute | Award / Judgment | $86,373.00 | $10,000.00 | See FINRA Report |
| Frank Nicholas Scott | 823248 | 4 | 06/01/1985 | Customer Dispute | Award / Judgment | $10,000,000.00 | $10,000,000.00 | See FINRA Report |
| Dennis Arthur Larson | 302868 | 1 | 06/01/1985 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |