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 |
|---|---|---|---|---|---|---|---|---|
| Maxwell Harrison Bloom | 23931 | 1 | 11/24/1975 | Customer Dispute | Award / Judgment | $475,000.00 | $125,000.00 | See FINRA Report |
| Pat Westmoreland | 464093 | 1 | 10/29/1975 | Customer Dispute | Award / Judgment | $200,000.00 | $25,000.00 | See FINRA Report |
| James Robert Jansson | 257438 | 2 | 08/01/1975 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Mark Alan Kasen | 264699 | 2 | 06/01/1975 | Customer Dispute | Award / Judgment | $100,000.00 | $60,000.00 | See FINRA Report |
| George Kennedy Miller | 334806 | 1 | 04/01/1975 | Customer Dispute | Award / Judgment | $80,000.00 | $31,200.00 | See FINRA Report |
| Herman Arnold Bates | 14649 | 3 | 01/19/1975 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Bruce Charles Jones | 260915 | 1 | 01/01/1975 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Lewis Edward Brazelton | 29438 | 1 | 01/01/1975 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Herbert Garrett Frey | 214237 | 19 | 01/01/1975 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Christian Andresen | 2563360 | 1 | 06/01/1974 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |