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 |
|---|---|---|---|---|---|---|---|---|
| Michael Boyd Morrison | 831387 | 5 | 04/03/1981 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Berry Smith | 428859 | 7 | 04/02/1981 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Allan Christopher English | 861313 | 2 | 04/01/1981 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Ellis Luken | 314257 | 3 | 03/30/1981 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Charles Barrett | 13452 | 2 | 03/01/1981 | Customer Dispute | Award / Judgment | $20,000.00 | $18,396.50 | See FINRA Report |
| Douglas Bruce Clark | 823921 | 5 | 02/20/1981 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Theodore Franklin Hoffman | 734127 | 2 | 02/05/1981 | Customer Dispute | Award / Judgment | $12,665.00 | $12,665.50 | See FINRA Report |
| Ronald Albin Everson | 203326 | 2 | 02/01/1981 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gerald Howard Klein | 602023 | 7 | 01/26/1981 | Customer Dispute | Award / Judgment | $71,500.00 | $33,837.50 | See FINRA Report |
| Felix Roman Park | 356437 | 11 | 01/01/1981 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |