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 |
|---|---|---|---|---|---|---|---|---|
| Walter Sol Berkman | 19479 | 3 | 09/27/1984 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Thomas Lee Ledbetter | 1612347 | 7 | 09/26/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carolann Watsic | 1045928 | 1 | 09/20/1984 | Customer Dispute | Award / Judgment | $2,025.00 | $150.00 | See FINRA Report |
| Craig Allison Hammond | 713873 | 2 | 09/19/1984 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Christopher John Leavy | 1056067 | 3 | 09/14/1984 | Customer Dispute | Award / Judgment | $5,600.00 | $681.21 | See FINRA Report |
| Peter Ruloff Schanck | 412565 | 8 | 09/12/1984 | Customer Dispute | Settled | $470,000.00 | $0.00 | See FINRA Report |
| William Lawrence Taylor | 443572 | 6 | 09/10/1984 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Joseph Jilek | 705179 | 1 | 09/07/1984 | Customer Dispute | Settled | $22,500.00 | $0.00 | See FINRA Report |
| Kermit Charles Edwards | 75847 | 1 | 09/01/1984 | Customer Dispute | Award / Judgment | $790,000.00 | $500,000.00 | See FINRA Report |
| Ronald Joe Auer | 839913 | 3 | 09/01/1984 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |