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 |
|---|---|---|---|---|---|---|---|---|
| Henry Carson Norman | 349133 | 2 | 01/01/1982 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| David Arthur Royal | 1915154 | 8 | 01/01/1982 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kent William Casey | 1128521 | 3 | 01/01/1982 | Customer Dispute | Award / Judgment | $0.00 | $14,394.30 | See FINRA Report |
| Daniel John Nichols | 1652753 | 1 | 12/21/1981 | Customer Dispute | Settled | $19,107.00 | $0.00 | See FINRA Report |
| Donald Harold Relyea | 373980 | 2 | 12/17/1981 | Customer Dispute | Award / Judgment | $15,000.00 | $6,690.44 | See FINRA Report |
| David Howard Siegel | 702395 | 1 | 12/15/1981 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Robert Nunn | 813949 | 3 | 11/19/1981 | Customer Dispute | Award / Judgment | $36,737.80 | $15,000.00 | See FINRA Report |
| Baruch Sinai Peretz | 360129 | 3 | 11/17/1981 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Richard G Golod | 842330 | 2 | 11/13/1981 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Daniel Robert Bott | 810528 | 1 | 11/03/1981 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |