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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Henry Williams | 867975 | 4 | 10/03/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Henry Williams | 867975 | 4 | 10/03/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Henry Martin | 858528 | 3 | 10/03/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Lanham Ferris | 206848 | 7 | 10/02/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Clarence Edwin Smith | 1032773 | 1 | 10/01/1984 | Customer Dispute | Settled | $1,000.00 | $0.00 | See FINRA Report |
| Barry Powell Livingston | 311074 | 1 | 10/01/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Yoshiyuki Sakai | 409129 | 7 | 10/01/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Yoshiyuki Sakai | 409129 | 7 | 10/01/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John David Jacobs | 872707 | 6 | 09/30/1984 | Customer Dispute | Settled | $1,648,000.00 | $0.00 | See FINRA Report |
| Edward Perry James | 2661220 | 2 | 09/28/1984 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |