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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Charles Bradshaw | 28400 | 1 | 01/01/1981 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Douglas Andrew Sharon | 728393 | 4 | 01/01/1981 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Berry Smith | 428859 | 7 | 01/01/1981 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Berry Smith | 428859 | 7 | 01/01/1981 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Berry Smith | 428859 | 7 | 01/01/1981 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Wilson Hartnett | 238990 | 9 | 01/01/1981 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Louis Estel Barnes | 12871 | 7 | 01/01/1981 | Customer Dispute | Award / Judgment | $2,455.00 | $478.13 | See FINRA Report |
| Andre Pappas | 356134 | 2 | 01/01/1981 | Customer Dispute | Award / Judgment | $9,000.00 | $4,500.00 | See FINRA Report |
| Thomas Yoshiyuki Sakai | 409129 | 7 | 01/01/1981 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See FINRA Report |
| Edwin Norman Hadley | 601574 | 1 | 01/01/1981 | Customer Dispute | Award / Judgment | $127,200.00 | $4,800.00 | See FINRA Report |